Policy/rule engine, multi-compliance framework and risk remediation

ABSTRACT

Techniques are provided that for providing complete solutions for role-based, rules-driven access enforcement, the techniques including active policy enforcement. Techniques address blended risk assessment and security across logical systems, IT applications, databases, physical systems, and operational technology systems in the context of threat and fraud detection, risk analysis and remediation, active policy enforcement and continuous monitoring. Further, techniques provide out of the box workflow rules that give the ability to add, modify, or delete the applicability parameters for policy enforcement.

CROSS REFERENCE TO RELATED APPLICATIONS

This application is a continuation of U.S. patent application Ser. No. 13/413,586 entitled SITUATIONAL INTELLIGENCE, filed Mar. 6, 2012, which is a continuation-in-part of U.S. patent application Ser. No. 12/953,318 (now U.S. Pat. No. 8,769,412), entitled METHOD AND APPARATUS FOR RISK VISUALIZATION AND REMEDIATION, filed Nov. 23, 2010, which is a continuation of PCT Application No. PCT/US10/57485, filed Nov. 19, 2010, which claims benefit of U.S. provisional patent application Ser. No. 61/263,284, Alert Enterprise, filed Nov. 20, 2009, the entirety of each of which is incorporated herein by this reference thereto.

BACKGROUND OF THE INVENTION

1. Technical Field

This invention relates generally to the field of computer-related methodologies for handling complex risk and security challenges of an enterprise. More specifically, this invention relates to provisioning a policy or rule engine, a multi-compliance framework, and risk remediation.

2. Description of the Related Art

Every industry has sensitive assets. For example, some critical assets for utilities may be devices running in substations, devices running in nuclear plants and so on. Some assets may be physical, some may be operational systems such as the above-mentioned devices, and some may be information technology (IT) systems. Another example of an asset is a logic controller that controls, for example, how much gas may flow through a pipe. Smart grid systems such as smart meters are another example of an asset.

Assets need to be protected from threats. Examples of areas of risk or threats include, but are not limited to:

-   -   Physical and Cyber protection of Sensitive Assets & Intellectual         Property     -   Blended threats that occur across IT, Physical and Operational         domains     -   Sensitive Asset Diversion (Dangerous Chemicals, Pathogens,         Nuclear material)     -   Cyber Attacks—Utilities (Water, Power, Gas), Smart Grids,         Transportation     -   Terrorism (Chemicals stolen to make explosives)     -   Bio Terrorism (Food & Beverage, Consumer Products)     -   Fraud (Fake employees/contractors)     -   Insider Threat—Disgruntled employees/contractors (both current         and past)

Thus, it would be desirable to provide a system and method that has the capability, including active policy enforcement, to look across the board of assets belonging to different organizations, e.g. within an enterprise, and apply policies and rules across the board, e.g. but not limited to across IT systems, physical systems, and industrial systems.

SUMMARY OF THE INVENTION

A method and apparatus is provided that includes techniques for providing complete solutions for role-based, rules-driven access enforcement, the techniques including active policy enforcement. Techniques address blended risk assessment and security across logical systems, IT applications, databases, physical systems, and Operational technology systems in the context of threat and fraud detection, risk analysis and remediation, active policy enforcement and continuous monitoring. Further, techniques provide out of the box workflow rules that give the ability to add, modify, or delete the applicability parameters for policy enforcement.

BRIEF DESCRIPTION OF THE DRAWINGS

FIG. 1 is a schematic diagram showing an alert enterprise system and its relationships with multiple diverse systems, sources of security related data, according to an embodiment;

FIG. 2 is a schematic diagram showing an alert enterprise system in communication with other external systems, according to an embodiment;

FIG. 3 is a diagram of an example appliance model, according to an embodiment;

FIG. 4 is a schematic diagram showing an alert enterprise system and its components and shows external systems with which alert enterprise system is in communication, according to an embodiment;

FIG. 5 a is a schematic diagram showing too many silos, according to the prior art;

FIG. 5 b is a schematic diagram representing a solution that streamlines on-boarding and off-boarding and closes security gaps, according to an embodiment;

FIG. 6 is a schematic diagram showing an alert enterprise system and its components and shows external systems with which alert enterprise system is in communication, according to an embodiment;

FIG. 7 is a schematic diagram showing alert enterprise system and its components and shows external systems with which alert enterprise system is in communication, according to an embodiment;

FIG. 8 shows a subsystem for rapid risk identification, visualization, remediation and role redesign, according to an embodiment;

FIG. 9 shows an exemplary user-interface for rapid risk identification, visualization, remediation and role redesign, according to an embodiment;

FIG. 10 is a flow diagram showing automated scheduled job information and administrator information being input into a request creation processor, according to an embodiment;

FIG. 11 is a sample screen shot showing the visual simulation of risks and the ability to add or remove transactions related to that role and see the resulting impact, according to an embodiment;

FIG. 12 is a sample screen showing five roles to be added, according to an embodiment;

FIG. 13 is a sample screen showing how a user may track and log privileged access for IT applications as well as physical access to facilities and critical assets, according to an embodiment;

FIG. 14 is a sample screen for modifying a role, according to an embodiment;

FIG. 15 is a schematic diagram showing an automated schedule to kick off role affirmation and/or certification, according to an embodiment;

FIG. 16 is a sample screen showing six views about particular security aspects for a particular individual, according to an embodiment;

FIG. 17 shows a sample screen shot of a physical substation that is defined as a critical asset in a utility network, according to an embodiment;

FIG. 18 shows a sample screen shot of a model room of a facility overlaid by a video view of the actual room and the activity therein, according to an embodiment;

FIG. 19 shows a sample screen shot of how users are allowed to select compliance frameworks from multiple authoritative sources when testing controls delivering a continuous compliance automation solution, according to an embodiment;

FIG. 20 is a schematic diagram for depicting a particular sequencing of actions from one entity to another for rapid risk identification, visualization, remediation and role redesign, according to an embodiment;

FIG. 21 is a schematic diagram showing a conceptual model view of how risk may affect and have influence over various aspects of an enterprise's assets, according to an embodiment;

FIG. 22 is a schematic diagram showing a three-pronged architecture for risk and control documentation according to an embodiment;

FIG. 23 is a sample screen shot showing available reports, according to an embodiment;

FIG. 24 is a sample screen shot of a graphical representation of a particular report, Active Users with No Access, according to an embodiment;

FIG. 25 is a sample screen shot of a particular drill down report for roles, according to an embodiment;

FIG. 26 is a process flow diagram, according to an embodiment;

FIG. 27 is an object diagram, according to an embodiment;

FIG. 28 is a sequence diagram, according to an embodiment;

FIG. 29 shows a data model, according to an embodiment;

FIG. 30 is a flow diagram, according to an embodiment;

FIG. 31 is an object diagram, according to an embodiment;

FIG. 32 is a data model, according to an embodiment;

FIG. 33 is an object diagram, according to an embodiment;

FIG. 34 is a flow diagram, according to an embodiment;

FIG. 35 is an object diagram, according to an embodiment;

FIG. 36 is a sequence diagram, according to an embodiment;

FIG. 37 is a schematic diagram showing particular detect, prevent, and respond step process to provide a continuous risk management process, according to an embodiment;

FIG. 38 is a sample screen shot of the compliance solution showing violations, according to an embodiment; and

FIG. 39 is a block schematic diagram of a system in the exemplary form of a computer system according to an embodiment.

DETAILED DESCRIPTION OF THE INVENTION Overview of Architecture and Interface

This section provides an overview of one or more embodiments for understanding the claimed subject matter. Further detailed discussions are presented in the sections that follow thereafter.

INTRODUCTION

An embodiment provides a solution for Incident Management, Critical Infrastructure Protection, Command and Control Challenges, such as, but not limited to, those presented below:

-   -   Sophisticated Attack Trajectory         -   Threats that leverage the weakest links         -   Blended Attack Vectors         -   High probability of malicious Insider         -   Advanced Persistent Threats     -   Geographically Dispersed assets/locations         -   Guards with guns—expensive and not cost-effective         -   Impossible to cover all locations         -   Putting guards/employees at unnecessary risk     -   Three-ring binders approach—not suitable for modern times         -   Being up against Organized and State Sponsored Crime         -   Response has to be instant and appropriate     -   Audit trail of incident management—very important         -   How incident was handled—to learn from mistakes for future         -   Making sure no one took advantage of an emergency         -   Monitoring activity in real-time     -   Leveraging investments in technology         -   Non-lethal weapon systems (rubber bullets, sticky foam,             non-lethal gas)         -   Cameras, sensors, alarms, physical access control systems,             etc.

An embodiment provides an enterprise security apparatus and methodology that bridges an overlooked gap in enterprise security, i.e. prevention and detection of cross-enterprise threats by linking physical access, Information technology (IT) & Operational Technology (OT). An essential aspect of this is Active Policy Enforcement, which ensures that policies are embedded and enforced as part of the various processes. An example is Employee On-Boarding/Off-Boarding. Active policy enforcement provides a method to enable and embed risk analysis and compliance/checks before provisioning the user. An embodiment provides capabilities for visualizing previously undetectable threats and assists enterprises in remediating security risk across the enterprise.

Monitoring Both Access and Behavior

An embodiment provides capabilities to monitor both access and behavior. For example, an embodiment monitors the following:

-   -   Whether the right people have access to assets, e.g. job,         certifications, background     -   Any suspicious behavior or activities     -   Personal access certifications and credential expiration and         timely revocation of the access     -   Monitoring Privileged Users and “Access Creep”     -   Predictive Analytics to predict early warnings of anomalous         behavior

Industry Specific Compliance

An embodiment provides mechanisms for industry specific compliance and standards, such as for example, but not limited to:

-   -   NERC, FERC, FISMA, PCI, HIPAA, CFATS, etc.

Capabilities

An embodiment integrates IT and physical security across diverse systems, applications, databases and geographically distributed assets. An embodiment provides a risk management capability that follows a three-step process that aggregates blended threats from IT systems, Physical Security Systems and Operational Systems to uncover previously undetectable threats and risks.

An embodiment provides the following capabilities:

-   -   Risk analysis across all three domains: IT, physical, and         Operation Technology/industrial control systems     -   Detect, identify and eliminate risks before they manifest     -   True prevention of threats from thefts, sabotage and terrorism     -   Incident management & Situational Awareness with built-in         programmed remediation     -   Compliance to various regulations/industry standards

Delivered Solutions

An embodiment provides, but is not limited to, the following solutions:

-   -   Rules-driven risk prevention for cross-enterprise access         security and activity/behavior     -   Real-time monitoring and correlation of IT and physical access         events for timely detection, alerting and response to security         violations.

For Corporations

An embodiment allows corporations the ability to perform the following. It should be appreciated that such list is by way of illustration and is not meant to be limiting:

-   -   Perform blended risk analysis to detect and prevent         cross-enterprise threats     -   Predictive Analytics     -   Monitor and correlate user access events displayed on a         geo-spatial map     -   Embed policy enforcement in particular processes such as         employee on-boarding, off-boarding, and change

Exemplary Alert Enterprise System Embodiment

An embodiment of an alert enterprise system 100 can be understood with reference to FIG. 6. FIG. 6 is a schematic diagram showing an alert enterprise system 100 and its components and shows external systems 606 with which alert enterprise system 100 is in communication, according to an embodiment.

Alert enterprise system 100 contains a connector framework that provides an open and pre-defined set of data connectors (connector types) to gather data for each solution through the data controller. It also provides the ability for outgoing information though the service controller by enabling SMS, Email or voice messages. The data may be collected through relational databases, XML, RSS, PI, Excel, ERP applications (i.e. Asset management, Workforce management, Outage management, Network management, and Customer Billing), Geo and Custom data feeds. The frequency of the data updates may be modified through a design module. The data connectors are the gateways between the alert enterprise system 100 and the underlying source systems such as ERP systems, physical access systems, control systems, and other legacy systems. The connector framework does support various industry standard protocols and interfaces like Web Services, HTTP, TCP/IP, JDBC/ODBC, file interfaces, natively built scripts and programming API's to extract the data from the source systems for Access Reviews, Risk Analysis, Controls Monitoring, etc. The data may be synchronized from the source systems to alert enterprise system 100 solutions in many ways. Some of such ways are, but are not limited to (a) batch mode—extracts the data in predefined frequency, (b) real-time connectivity from the source systems for on need basis look up for the data, and (c) event mode in both push and pull methodologies depends on the need. Alert enterprise system 100 may also support agent base, e.g. install natively built APIs/programs, and agent less, e.g. direct reads, leveraging industry standard interfaces and protocols. The data may also sync up in full mode or incremental.

Alert enterprise system 100 contains one or more applications 602, as well as a common services platform 604. The set of one or more applications 602 may contain a risk visualization and remediation subsystem 608, a user access certification subsystem 610, an incident and management response subsystem 612, a continuous controls monitoring subsystem 614, a compliance automation subsystem 616, an identity and access governance across domains subsystem 618, and a privileged access monitoring subsystem 620.

Common services platform 604 contains one or more risk analysis and correlation engines, services, and scripts and one or more adaptor framework components. In the embodiment, common services platform 604 contains a risk engine 622, a policy and rules engine 624, controls, risks, and assets repository 626, events, alerting and geospatial services 628, and visualization, workflow engine, automation, and remedial action scripts 630. In the embodiment, common services platform 604 contains a messaging framework 634, a connector framework 636, an extraction framework 638, and a meta-data repository 640.

According to the embodiment, some example systems of external systems 606 with which alert enterprise system communications are IT systems 642, physical control systems 644, and industrial control systems 646. A couple of examples of IT system 642 are SAP, Waldorf, Germany, and Oracle Corporation, Redwood Shores, Calif. A couple of examples of physical control systems 644 are imaging sensors and building controls systems. A couple of examples of industrial control systems 646 are Supervisory Control and Data Acquisition (SCADA) systems and Distributed Control System (DCS) plant applications. It should be appreciated that such examples are illustrative only and are not meant to be limiting.

Another Alert Enterprise Embodiment—Marketing Perspective

An embodiment of alert enterprise system 100 from a marketing perspective can be understood with reference to FIG. 7. FIG. 7 is a schematic diagram showing alert enterprise system 100 and its components and shows external systems 606 with which alert enterprise system 100 is in communication, according to an embodiment. In this embodiment, alert enterprise system 100 contains one or more subsystems 702 that provide solutions for applications in the business sector, solutions for infrastructure that may be critical, and federal solutions as well as solutions for national defense.

As well, the embodiment contains common services platform 604 that contains one or more of the same engines, repositories, and scripts as shown in FIG. 6, the description of which is not repeated here. Further, common services platform 604 contains a messaging framework 634, a connector framework 636, an extraction framework 638, and a meta data repository 640 as shown in FIG. 6.

Product Modules

An embodiment provides an architecture that supports an agnostic and adaptable nature of such system. One or more embodiments may be captured in one or more products, examples of which are discussed hereinbelow. It should be appreciated that the particular products discussed hereinbelow are for illustrative purposes only and are not meant to be limiting.

-   -   AlertAccess and AlertIdentity: An embodiment provides a         subsystem, which may be referred to herein as AlertAccess and         AlertIdentity, that provides rules-driven and policy-compliant         user access management and provisioning across the enterprise,         analyzing risk across all IT applications, physical systems, and         the network. Such subsystem is architected to take advantage of         existing Segregation of Duties (SoD) engines for Enterprise         Resource Planning (ERP) applications and provide an enterprise         view for access control exposure across the enterprise.     -   AlertInsight: An embodiment provides a subsystem, which may be         referred to herein as AlertInsight, which is a highly visual         computer-implemented system solution with powerful graphical         modeling capability to remediate risk and user access violations         from a common user interface in a single screen session. The         subsystem promotes alignment between business and IT functions         and includes data from multiple sources, different ERP systems,         Identity and Access Management, Corporate Directories, HR         systems, and even GRC applications; all displayed in a         business-friendly context.     -   AlertAction: An embodiment provides a subsystem, which may be         referred to herein as AlertAction, which provides geo-spatial         monitoring and remediation of cross-enterprise threats, serious         acts of sabotage/terrorism, fraud and theft etc. Such subsystem         provides capabilities to co-relate seemingly innocent events and         activities to detect real threats and risks, while providing         powerful alerting and automated Remedial Action Strategies (RAS)         for decisive action.     -   AlertCertify: An embodiment provides a subsystem, which may be         referred to herein as AlertCertify, which provides a highly         visual computer-implemented system solution with powerful         graphical modeling capability to completely automate, monitor         and track the numerous re-affirmation projects that risk and         compliance analysts, IT security and business managers must         complete. Additionally re-affirmation tasks are set up as         individual projects with business and IT stakeholders         identified. Such subsystem automates the scheduling, the         frequency and the levels of workflow within the subsystem.     -   AlertControls: An embodiment provides a subsystem, which may be         referred to herein as AlertControls, which is an         enterprise-level computer-implemented system that allows         companies to conduct multiple assessments simultaneously, test         controls across multiple regulations, include human response via         e-surveys, automate testing of controls and leverage built-in         configurable workflow to adapt to existing organizational         structures and business processes.     -   AlertMonitor: Active Policy Enforcement, Enterprise Continuous         Monitoring, Controls and Risks automation, risk analysis         capabilities through automation of rules and Predictive         Analytics.     -   AlertWatch: An embodiment provides a subsystem, which may be         referred to herein as AlertMonitor, which is a multi-domain,         multi-platform privileged user management application. Such         subsystem enables organizations to automate the monitoring of         individuals entrusted with the most critical access in the         organization. Auditors and regulators have stepped up the focus         on closing this gap. Thus, such subsystem enforces least         privilege principle in an organization and ensures that business         is run with minimal risk even when privileged critical access is         used in an operational environment. Such subsystem delivers         compliance with various regulations and monitoring of         supervisory access across IT and physical access control         systems.     -   AlertRoles: An embodiment provides a subsystem, which may be         referred to herein as AlertRoles, which is a cross-systems role         management and mining subsystem.

Alert Enterprise Platform

An embodiment provides common services platform 604 that provides and performs some of the underlying functionality of alert enterprise system 100. Particular components of alert common services platform 604 are discussed in no particular order hereinbelow.

-   -   Data Connectors: An embodiment provides an open and pre-defined         set of data connectors, e.g. connector types, to gather data for         each solution through a data controller. The embodiment also         provides the ability for outgoing information though the service         controller by enabling SMS or Email. The data may be collected         through relational databases, XML, RSS, PI, Excel, ERP         applications, such as Asset Management, Workforce Management,         Outage Management, Network Management, and Customer Billing, and         Geo and Custom data feeds. The frequency of the data updates may         be modified through a designer, such as one provided by         AlertEnterprise, Fremont, Calif. The Data Connectors are the         link between alert enterprise system 100 and the underlying         systems 606 such as ERP systems, Physical access systems,         Control systems, and other legacy systems. All the communication         that occurs is done by the pre defined customizable data         connectors.     -   Process Engine: An embodiment provides a process engine that is         used to develop solution specific workflows in the application         and customize the scenarios for specific business needs. For         example, an embodiment may provide simple the drag & drop method         in a wizard setup format to develop specific workflows to meet         with variety of requirements. Process engine manages the system         workflows. Administrators may define new workflows as well as         modify existing workflows. A workflow defines the number of         stages during the completion of the tasks and various actor(s)         involved at each stage. Each workflow has a set of conditions on         which it is initiated. When the attributes of a user request         match with the initiator conditions of a business process         workflow, that business process is selected for the request. For         example, if the request type is New Hire and department is         Finance then the business process workflow to be followed is         Hiring Workflow.     -   Security: In an embodiment, alert enterprise system 100 provides         inbuilt security and user management to enable application         access, based on roles and privileges. Alert enterprise system         100 maintains security across the organization. This means a         user may view functions, controls, control sets, mitigation         controls only for the organization to which he/she belongs.         Embodiments may provide access protection via an administration         password, a database password, default passes and so on.     -   Reporting: An embodiment provides a reporting tool to generate         the reports after analyzing the data from the underlying         systems. The reporting tool may allow the user to create custom         reports and to plug in the external reports. In an embodiment,         compliance automation is facilitated using prescribed formats,         such as NERC CIP format, CFATS etc.     -   Scheduling: An embodiment enables a user to get information         about scheduled data synchronization jobs. The user may create         the jobs and schedule the jobs according to business or other         particular needs and perform the desired operation accordingly.         For example, a provided interface may provide one screen hot         spot to get information about the jobs scheduled for risk         analysis, extractor, rule engine, mitigation, etc. For example,         a user may scheduling risk analysis on a weekly basis.     -   Event Management: An embodiment provides event management         capability that captures the events from various sources such as         ERP, weather feeds, and security alerts.     -   Policy engine: An embodiment provides a policy engine that         follows a pre-defined business process workflow for manual as         well as automated completion of tasks of the organization. It         may be the responsibility of the administrator to define the         workflow as per the needs and management structure of the         organization.     -   Video analytics: An embodiment provides a video analytics         subsystem that provides an ability to continuously monitor video         feeds from multiple cameras. Video analytics helps the authority         to track what exactly is happening at a particular location. The         video feed may be seen live and accordingly the manager may make         a decision, whether the particular situation is considered a         risk or not.     -   Risk analysis services: Alert enterprise system 100 provides         risk analysis services and the rules and compliance standards         that the company may need to follow are part of these services.         The risk engine compares these set rules with the actions being         performed in the system. If any of the rules is violated the         system identifies the particular action as a risk and notifies         the administrator.     -   Geo spatial services: An embodiment provides a geo spatial         service that is manifested as a subsystem that helps in tracking         down the risk to a particular geographical location. This module         provides the inside view of what exactly is happening at the         site where the risk is detected. In an embodiment, such         subsystem is actively used in the subsystem, AlertAction, which         may be specifically designed for drilling down the location         where risk is reported. This service may be actively used for         risk monitoring and remediation that provides geospatial         remediation of cross-enterprise threats, cross-application and         cross-subsystem threats, serious acts of sabotage, terrorism,         fraud and theft, etc. such geo spatial services co-relates         seemingly innocent events and activities to detect real threats         and risks and generates powerful alerting and automatic remedial         action strategies for decisive action.     -   Workflow services: In an embodiment, a designed workflow is a         part of the process engine. The workflow may be designed         according to the company structure. It is according to the         workflow defined in alert enterprise system 100 that the         managers are notified. In response to such notification, the         managers act accordingly on the desired task. The administrators         may define new workflows as well as modify the existing ones. A         workflow defines different stages of task groups. Each task         groups may contain one or more tasks. Each task has a task owner         and each task group has a task group owner. Such owners are the         actors who act at different remediation tasks of the remediation         task group. Each workflow has a set of conditions on which the         workflow is initiated. When the attributes of a user request         match with the initiator conditions of a business process         workflow, that business process is selected for the request.     -   Database Repository: an embodiment provides a database         repository and subsystem that collects the information that is         archived. Alert enterprise system 100 extracts the information         from the underlying system, which is then analyzed for the risks         and then archived to the database.

Technical Capabilities

Following are particular technical capabilities provided by an embodiment.

Automated Control Testing and Multi-Regulatory Compliance Management

-   -   Built-in repository of common controls to support multiple         regulations and frameworks     -   Controls mapped to risks and vulnerabilities to prioritize and         help in risk mitigation     -   Common rule sets defined in flexible rule engine     -   Automated case management to help remediate the risk violations     -   Ease of use of the workflow to support the compliance, controls,         remediation and the approval process         Integration with Multiple Enterprise Resource Planning (ERP)         Systems and Business Process Automation

An embodiment allows integration with multiple ERP systems and business process automation, e.g.:

-   -   Out of the box integration with enterprise systems, such as, for         example, those provided by SAP, Waldorf, Germany, and Oracle         Corporation, Redwood Shores, Calif.     -   Integration with the human resources (HR) applications, e.g. SAP         and PeopleSoft now by Oracle Corporation     -   Integration with Physical Access and Control Systems (PACS) for         physical access control monitoring         Integration with IT Security Automation

An embodiment allows integration with IT security automation, such as, but not limited to, the following, for example:

-   -   Identity and Access Management     -   Lightweight Directory Access Protocol (LDAP) and Active         Directory     -   Configuration and Change Management Solutions     -   Access logs and provisioning history     -   Security Incident Management and Event Management     -   Data Loss Prevention and Content Filtering         Integration with Physical Security and Physical Access Control         Systems

An embodiment allows integration with physical security and physical access control systems, such as, but not limited to, the following:

-   -   Integration with building control and card access systems     -   Access Card Provisioning and De Provisioning     -   Integration with video surveillance and biometrics     -   Integration with radio frequency identification (RFID)         technology, sensors and control systems         Integration with Operational Technology Systems

An embodiment allows integration with Operational Technology (OT) systems, such as, but not limited to, the following:

-   -   Integration with SCADA systems     -   Integration with Distributed Control System (DCS)     -   Integration with OT devices such as Programmable Logic         Controllers (PLC), Remote Terminal Units (RTU)

Risk Analysis Engine to Render Risk Following Detection of Blended Threats

An embodiment provides an engine that analyzes data from diverse systems across the enterprise for rendering risk following the detection of blended threats, such as for example, but not limited to, the following:

-   -   Detect and control threats and risk from logical, physical and         control systems     -   Aggregate threats from IT security, Physical Access and Control         Systems     -   Accept external feeds, e.g. iDefense Labs by VeriSign, Inc. in         Sterling, Va., National Vulnerability Database (NVD), by the         National Institute of Standards and Technology, United States of         America, and other threat sources for correlation and risk         mapping     -   Fetch access and control violations from a variety of sources

An embodiment provides an architecture that supports the convergence of IT security, physical access controls, and industrial control systems to uncover blended threats and can be understood with reference to FIG. 1. FIG. 1 is a schematic diagram showing alert enterprise system 100 and its relationships with multiple diverse systems, sources of security related data, according to an embodiment. Alert enterprise system 100 contains a correlation engine 102 that performs the following functions, but is not limited to the following functions: threat and fraud detection, risk analysis and remediation, policy enforcement and continuous monitoring. Alert enterprise system 100 provides a process by which a user, such as a representative of a particular alert enterprise system, provides the definitions of particular risks, threats, and fraud 104. Further, given the defined definitions, such process provides for detecting the particular risks, threats, and fraud 106. As well, such process provides for preventing the defined risks, threats, and fraud 108. Further, in response to detecting the particular risks, threats, and fraud, such process provides for responding to such particular risks, threats, and fraud 110.

Alert enterprise system 100 is in communication with other ERP systems 112, with IT security applications 114, and with physical access control systems 116.

Also, alert enterprise system 100 is in communication with data repositories that store security also diverse data from data sources. Such data may include, but are not limited to, regulatory data, security data, utilities data, industrial data, logic controller data, compliance data, corporate IT data, and other types of data from diverse organizations 118.

Alert enterprise system 100 also provides for multi-regulatory controls testing 120.

Thus, alert enterprise system 100 supports the convergence of IT security, physical access controls and industrial control systems to uncover blended threats.

Integration Framework

An integration framework is provided for integrating alert enterprise system 100 to logical systems, physical and control systems, and meta data.

-   -   Logical: A logical integration framework is provided. In an         embodiment, logical integration framework is a layer in alert         enterprise system 100 that is configured to attaching alert         enterprise system 100 to external systems, such as, but not         limited to, SAP, Oracle, SAAS systems, e-Verify systems by the         United States Citizenship and Immigration services, and legacy         systems. In an embodiment, alert enterprise system 100 is in         communication with such external systems through connectors,         which extract data from underlying systems of the external         systems.     -   Physical: In an embodiment, alert enterprise system 100 provides         a physical system integration framework that enables alert         enterprise system 100 to interact with physical systems, such as         but not limited to Physical Access Card System, Industrial         Control Systems, Video Surveillance Biometric Systems and the         RFID Integration Servers. Thus, physical system integration         framework that enables alert enterprise system 100 to extract         data from underlying systems of such physical systems and         analyzes the data for risks.     -   Control systems: In an embodiment, alert enterprise system 100         interacts with control systems via direct integration with         SCADA/HMI systems, Integration through Historians/Middleware or         Integration through Log Management Systems. Control Systems         include SCADA (Supervisory Control and Data Acquisition)         systems, DCS (Distributed Control Systems) etc. The embodiment         is capable of receiving events (e.g. change of device settings,         Alteration of Alarm Hi/Lo settings, Disabling of protection         systems/Alarms, etc.) and correlate with other enterprise events         obtained from the other sources to calibrate and detect Risk         Incidents.     -   A meta data framework is provided that allows mapping with         source/target systems and data fields into the product. In an         embodiment, alert enterprise system 100 extracts data from the         underlying systems and saves such extracted data for risk         analysis. The underlying data are mapped to the corresponding         fields of alert enterprise system 100, as defined by an         administrator.

Risk Analysis

In an embodiment, a risk analysis engine (“correlation engine”, not shown) is provided within alert enterprise system 100 that allows complex event processing on a spatial and temporal phenomenon. The engine registers events along with user defined filters. As the user defined event is triggered, the engine starts the processing and automatically analyzes the event and the analysis of such event within a defined correlation matrix

In an embodiment, an alert enterprise simulation engine (not shown) is provided. Processing, planning, and simulations are based on the alert enterprise simulation engine for predictive processing and analysis. Such alert enterprise simulation engine provides statistical analysis that may be used for financial and risk mitigation, within geo-context sensitive and interactive dashboards.

Integration with External Sources Solutions

Alert enterprise system 100 enables easy integration with various data sources in an enterprise. In an embodiment, alert enterprise system 100 enables users to view and analyze data in a security and risk management context by providing a visual analytics and by initiating the workflow and business intelligence, and remedial action schemes and workflow processes.

It should be appreciated that the solutions that may be provided to a customer may be limitless, as alert enterprise system 100 may be only dependent upon the data it collects. In an embodiment, alert enterprise system 100 reads such data, presents visualization of such data, and through customer defined rules and requirements builds an RAS to help solve a specific business problem.

Below is an example of a solution deployed in various forms by alert enterprise system 100.

Example Enterprise Asset and Service Management Solution

It should be appreciated that in such example and according to an embodiment, alert enterprise system 100 collects data from the following:

-   -   Field Information         -   SCADA         -   Historian         -   OMS     -   Asset Data         -   EAM         -   Outage Management         -   OMS         -   Asset Status     -   Customer Care         -   CIS/Trouble tickets     -   Workforce Data         -   WFM         -   Qualification/scheduling data     -   Other data         -   Vehicle tracking         -   Environmental data (Fire, Hurricane, weather, Earthquake)         -   Traffic

In accordance with an embodiment, the data above are collected by alert enterprise system 100, are seamlessly integrated, and presented in visualization in a geo-spatial canvas. A user may be then able to view such data in various layers, assess the situation of geographic data at any location in real-time, be alerted (e.g. by visual, SMS, email) of a situation, analyze the situation, rubber band a specific location to perform what-if analysis, take automated remedial action, and also file a complaint report to ensure regulatory compliance.

Alert Enterprise System Landscape

An embodiment provides a three tier architecture, which may be based on JAVA technology. An embodiment can be understood with reference to FIG. 2, a schematic diagram showing alert enterprise system 100 in communication with other external systems. Alert Enterprise system 100 may connect to different systems, for example but not limited to, SAP Applications 202, physical access and surveillance systems 204, control systems 206, non SAP and legacy applications 208, special applications 210, and utility EAM and O&M applications 212. System 100 connects to these applications via connectors and extracts the data from underlying applications. Then the data are analyzed through risk assessment, unifying security and compliance processes.

Deployment Module

Alert enterprise system 100 may be deployed on various deployment models, such as, but not limited to:

-   -   Single node     -   Multiple node for load balancing     -   Cluster node for scalability

Each model may be defined based on the following requirements:

-   -   On premise deployment     -   Applicant model     -   SaaS (On demand/hosted)

An example of an appliance model according to an embodiment is shown in FIG. 3.

Adaptor Framework

An embodiment provides a connector framework that provides adapters as part of a connector library for connection to various systems, databases, historians and web services. The adaptor framework supports the following:

-   -   Real-Time Data Bus, which is a high speed connection pool         typically for real-time or near real-time data streamed to the         system, such as PI, SCADA, etc.     -   Enterprise Information Bus, as a connection for the data         communication of enterprise data such as business data from         enterprise systems such as EAM, WFM, etc. as well as native         databases     -   Support offline and real time extraction     -   Agent and agent-less connection for the underlying system

Application Servers

-   -   An embodiment provides servers defined as logical servers, which         may be implemented in a distributed mode or a single server         mode, based upon customer requirements, such as amount of data,         performance criteria, number of users, number of scenarios, etc.     -   An embodiment provides a persistence database, such as an Oracle         or SQL compliant database, which may house the data used for         risk analysis and reporting. The persistence layer is used for         storage of configuration data and application data model for the         alert enterprise system 100. User preferences and roles are also         stored in this database.     -   An embodiment provides a multi-server cluster framework         dedicated to the spatial and temporal processing. In large scale         deployment, the cluster scenario may be used to support load         balancing and high availability in case of failure. The number         of servers required for the processing may be dependent upon the         amount of data, scenarios, and the performance required by the         customer, with a minimum of one server efficient for a         particular number of customers with no maximum limit on the         number of servers.     -   An embodiment provides a risk engine 622 that manages the         correlation of user access and activity events with a risk/rule         library. Alert enterprise system 100 may be configured to         automatically initiate a workflow action when potential security         and compliance risk are detected.

Application Programming Interface

In an embodiment, alert enterprise system 100 includes a series of Application Programming Interface (API) which specifies the data characteristics from the sources to ensure quick and easy integration with the system. Each of the APIs is categorized for each specific solution integration, as follows. It should be appreciated that such list is for illustrative purposes and is not meant to be limiting.

-   -   Work Management Integration         -   Service Notifications, Service Orders, Work Requests         -   Service Dispatches, Service Assignment, Scheduling, Load             Forecasts         -   Estimated Restoration time Calculations     -   Qualification Management Interface         -   Skill-set & Qualification matching, Mobile Workforce             integration         -   Assignment of service engineers and spare parts to work             orders     -   Enterprise Asset Management Interface         -   Inventory of Equipments, Bill of Materials and Measurement             Documents         -   Inventory of Service Logs, Failure History, and FMEA             analysis     -   Environmental Interfaces         -   Traffic feeds and Vehicle tracking for Field Service             Scheduling         -   Fire, Earthquakes, Weather, Hurricane feeds for Situational             awareness         -   Predictive path analysis of natural events like hurricanes         -   Impacted Asset Analysis—Cost-to-Serve analysis     -   Asset Maintenance Interface         -   Asset Revaluation—Identification of defective assets         -   Preventive Maintenance, Condition based maintenance and             Scheduled Maintenance         -   Failure pattern prediction and recognition         -   Estimated Restoration time Calculations     -   Customer Care and Trouble Ticket Interface         -   Inbound calls, trouble tickets         -   Integration with outcall dispatching system for service             tracking         -   SAIDI, SAIFI, etc—Customer disruption analytics         -   Analysis of Economic impact by customer type     -   SCADA Field Device Integration         -   Integration with Historian/SCADA devices for real time             process feeds         -   Notification Alerts for violations of operating thresholds     -   Remedial Action Scheme and Compliance Reporting         -   Automatic NERC/FERC reporting on operating threshold             violations         -   Remedial Actions for Instant Process workflow on critical             issues     -   Wide Area Management (WAM) Interface         -   Alerts and notifications for wide area frequency and Phase             deviations         -   Islanding Zone identification derived from threshold             calculations         -   Root Cause Analysis with full-context temporal playback     -   Transmission and Distribution Asset Reliability         -   Identification of aging and below-par assets         -   Remedial action scheme for replacement of worn assets         -   Upstream and downstream impact analysis     -   Smart Metering and Demand Response Interface         -   Simulation of remote shutdown, disconnect operations         -   Load shaping analytics by price points, weather patterns and             appliance types     -   Human Resource System Integration         -   On Boarding/Of boarding         -   Change in Position         -   Qualification     -   ERP (For example—SAP)         -   User         -   Roles         -   Authorization         -   User Activity and transaction log         -   User Information     -   Physical and Cyber Security Risk Analytics         -   Feeds from Access Control Systems for instant identification             of Physical threats to Critical Infrastructure components         -   Live video feeds at key infrastructure facilities provides             visual threat identification     -   Risk, Vulnerability and Liability Exposure Analysis         -   Risk Exposures arising from asset failures, malfunction and             reliability loss         -   Liability exposure arising from outages or vulnerable assets     -   Physical Access Control Systems Integration         -   Badge         -   Users         -   Access levels         -   Users Activity and access log         -   User information

Data Sources

In an embodiment, data sources for alert enterprise system 100 may include, but are not limited to:

-   -   Excel, CSV, XML files     -   Database     -   RSS feeds     -   Web services     -   HTTP     -   XML     -   PI     -   EAM, WFM, OM, etc. from various vendors such as SAP, Oracle,         Ventyx, Click Software, etc.     -   GIS     -   Custom     -   KML data

Further, data sources included in the connector library are listed below but are by no means limited by the list below. For example, such list of data sources may be from integrating with third party and partner solutions. It further should be appreciated that such list grows as more data sources are integrated into alert enterprise system 100 based on customer requirement.

-   -   Integration with third party/partner solutions     -   SAP GRC     -   IDM     -   Log Management System (e.g. Splunk)

An Exemplary Alert Enterprise System Embodiment

Another exemplary embodiment of alert enterprise system 100 can be understood with reference to FIG. 4. FIG. 4 is a schematic diagram showing a particular enterprise architecture to which a particular implementation of alert enterprise system has been applied, according to an embodiment. In particular, FIG. 4 a subsystem layer 416 may contain one or more of the product modules or subsystems discussed hereinabove. In particular, subsystem layer 416 is shown to contain the following subsystems in this embodiment: AlertInsight 402, AlertCertify 404, AlertAccess 406, AlertMonitor 408, AlertRoles 410, AlertAction 412, and AlertControl 416. Some of which subsystems are discussed in further detail hereinbelow. Further, this embodiment contains a repository and engine level 418. Repository and engine level 418 may contain the following engines or repositories: risk engine 622, compliance management 422, policy engine 624, controls and risk repository 626, workflow 630, and alert and event management 628. Alert enterprise system 100 contains an integration framework 424 that provides the messaging framework 634 (not shown), connector framework (636), extraction framework 638 (not shown), and a meta data repository or framework 640 (not shown). FIG. 4 also shown the external systems and resources, such as IT resources or systems 642, Physical access systems or physical control systems 644, and industrial control systems 646.

As shown in FIG. 4, AlertInsight 402 may be used for rapid risk identification, visualization, remediation and role redesign. AlertCertify 404 may be used for user and role recertification and reaffirmation. AlertAccess 406 may be used for logical and physical access management, on-boarding and off-boarding. AlertMonitor 408 may be used for privileged user management and monitoring. AlertRoles 410 may be used for cross-systems role management and mining. AlertAction 412 may be used for geo-spatial monitoring and remediation of cross-enterprise threats. AlertControls 414 may be used for sustainable compliance with continuous controls monitoring.

Streamlines on-Boarding/Off-Boarding and Closes Security Gaps

It should be appreciated that an embodiment allows an enterprise from having too many silos to a streamlined architecture, where a silo is an entity that is not well-connected with another entity or silo. Too many silos can be understood with reference to FIG. 5 a. FIG. 5 a is a schematic diagram showing a plurality of entities of an enterprise that are not well-connect. In contrast, FIG. 5 b is a schematic diagram representing a solution that streamlines on-boarding and off-boarding and closes security gaps, according to an embodiment. Some examples of silos are contractors 502, human resources 504, background checks 506, and so on.

An Exemplary Subsystem—Alertinsight

An embodiment provides an exemplary subsystem for rapid risk identification, visualization, remediation and role redesign 402, referred to herein for convenience as AlertInsight.

Overview

Organizations need to manage risk out of their IT applications. While organizations spend a lot of time and effort securing the enterprise from outside threats, it is also important to focus on the inside. Segregation of Duties (SoD) monitoring may help identify risks from insider malicious activity and even unintentional actions that may result in large potential losses. Traditional SoD remediation reports contain pages and pages of text and end up extending across 15 or 20 ERP application screens. IT security, business teams and compliance analysts need to pour over reports and attempt to identify violations. These efforts are limited to one kind of business application or ERP system and are time consuming and costly.

Sometimes the Biggest Threat is the Threat from within

In an embodiment, AlertInsight 402 provides a highly visual system solution with powerful graphical modeling capability to remediate risk and SoD violations from a common user interface in a single session without the need to traverse through dozens of applications screens. IT security, compliance analysts and business managers may collaborate to arrive at the best remediation decision by visualizing the impact prior to applying remediation actions. With AlertInsight remediation teams may visualize SoD violations, roles and related risks within the same context, on the same screen.

AlertInsight Remediation Manager Delivers Business and IT Alignment

In an embodiment, AlertInsight 402 enables alignment between business and IT by visualizing results from a common set of data. Business managers may understand the root causes of risk and take steps to remediate those risks without relying on IT. Consequently it reduces the time and effort IT has to spend on interpreting security and risk data in a form that can be consumed by business analysts.

In an embodiment, AlertInsight 402 includes data from multiple sources, different ERP systems, Identity and Access Management, Corporate Directories, HR systems, and GRC applications; such data displayed in a business—friendly context. Risk and compliance analysts may assess risk across the board covering IT applications, IT assets, corporate assets, critical assets and the physical access that users and administrators have to them. In an embodiment, this holistic picture of risk may be the starting point from which all remediation activity takes place providing a more secure, policy-driven and compliant result.

An embodiment can be understood with reference to FIG. 8. FIG. 8 shows an AlertInsight subsystem according to an embodiment. Such subsystem contains a visual mapping and remediation layer 802, a data aggregation and continuous monitoring layer 804, and a sources of data layer 806. Such sources of data layer 806 are, for example and not limited to, ERP systems, Identity and Access Management (IAM) Provisioning and Roles Management systems, and sources of threat detection. Such sources of threat may come from IT Security Automation and Physical Security/SCADA, Process Controls Systems and video surveillance systems.

An embodiment of a user-interface can be understood with reference to FIG. 9. FIG. 9 shows an exemplary user-interface for rapid risk identification, visualization, remediation and role redesign, according to an embodiment. In the embodiment, drilling down on a risk item may show the details of processes, transactions, roles with permissions and the users all in one screen. Such subsystem 402 may initiate remediation actions with a single click, thus providing powerful actionable response to risks.

An embodiment can be understood with reference to FIG. 20. FIG. 20 is a schematic diagram for depicting a particular sequencing of actions from one entity to another for rapid risk identification, visualization, remediation and role redesign. In this embodiment, a setup processor 2002 sends a create message 2018 to a connector(s) processor 2004, a configure message 2020 to an extractor(s) processor 2008, and a configure message 2022 to a scheduled job(s) processor 2006. Scheduled jobs processor 2006 sends an extract message 2024 to extractor(s) processor 2008 and receives a message 2032 from extractor(s) processor 2008. Extractor(s) processor sends a fetch user activity and risks message 2026 to an SAP/LDAP/CC processor 2012, which sends a response 2028 back to extractor(s) processor 2008. Extractor(s) processor 2008 also sends an enrich and store message 2030 to a repository 2014. A visualization processor 2010 sends to and receives from repository 2014 the messages (2034, 2036). Visualization processor 2012 then causes a display message 2028 to execute. As well, visualization processor 2010 causes a perform remediation and mitigation message 2040 to execute. Visualization processor 2010 also sends a store remediation and mitigation message 2042 to a database 2016 and receives a return message 2044 therefrom. In response, visualization processor 2010 executes a reflect remediation and mitigation for all affected entities message 2046. As well, visualization processor 2010 sends a commit remediation and mitigation message 2048 to SAP/LDAP/CC processor 2012 and receives a return reply 2048.

Features An embodiment provides, but is not limited to particular features, as listed hereinbelow:

-   -   Easy to understand—Business and IT can get aligned by viewing a         common set of data.     -   Quickly and visually identify security and compliance violations         and exposure points; and remediate these violations.     -   Automated security and compliance data extraction from ERP, IDM,         Human Resources and GRC systems for analysis.     -   Search for various entities like users, roles, risks, controls         etc and see the relationships through a visual representation         with drill-down.     -   Actionable visualization through which changes can be made to         users, roles, risks and simulated before those changes are         performed in the target systems

Customer Benefits

An embodiment provides, but is not limited to particular benefits for, but not limited to, customers, as follows:

-   -   Promotes visual collaboration between IT and business functions         to remediate risk     -   Reduces cost of compliance by eliminating costly and time         consuming process of reviewing textual data     -   Visual simulations allows impact to be viewed prior to investing         in remediation actions     -   Provides most comprehensive view of risk combining logical and         physical security     -   Verifiable compliance with regulations, standards and best         practice frameworks     -   Secures the gap between critical assets, IT systems and business         applications     -   Reduced audit preparation time and cost

An Exemplary Manager for Re-Certification of User, Access, and Role Overview

Recent rogue trader and insider breaches involving losses exceeding hundreds of millions of dollars have highlighted the lack of oversight when it comes to reviewing who has access to highly critical applications within the organization. The risks are huge and threaten the viability of the enterprise. Additionally, regulations, standards and best practice frameworks are continuously being updated with more stringent access review policies and varying rules on how often user access and roles need to be reviewed. Highly critical roles such as treasury functions may need to be reviewed weekly. The most prevalent way of addressing this, even in large organizations, is via spreadsheets and face-to-face meetings in a war-room environment. Not exactly the best way to conduct business.

An embodiment provides a highly visual system solution with powerful graphical modeling capability to completely automate, monitor and track the numerous re-affirmation projects that risk and compliance analysts, IT security and business managers may have to complete. Additionally reaffirmation tasks are set up as individual projects with business and IT stakeholders identified. An embodiment automates the scheduling, the frequency and the levels of workflow within the application. The embodiment may provide value in highly regulated industries such as utilities and financial services, as well as critical infrastructure and essential services.

Re-Certification as a Risk Management and Compliance Process

Traditional Segregation of Duties (SoD) utilities and Access Management applications have focused on just user access re-affirmation generally providing a one-size-fits-all solution. Managing risk across the enterprise requires not only assessing user access, but examining roles. To truly determine who has access to these systems and monitor their activity, it is essential to link the physical access to the logical access and provide real-time visibility into background checks, certifications and training.

It should be appreciated that an embodiment of a manager for re-affirmation relies on its underlying technology to aggregate previously undetectable risks by collecting blended threats from IT Systems, Physical Access Controls Systems and Production Control Systems. Such subsystem provides a complete risk analysis and provides roles-based dashboards to reviewers, administrators, auditors and risk managers with added capability of remediating risk, such as with a single click.

An embodiment of a re-affirmation process can be understood with reference to FIG. 10. FIG. 10 is a flow diagram showing automated scheduled job information and administrator information being input into a request creation processor. Request creation processor sends data to a risk analysis processor, which processes the data and then makes the processed data available to a manager. The manager or manager subprocess determines appropriate role and business ownership. Such role and business ownership data is compared with security data by a security subprocess, which then provisions the request for access to IT applications or systems and physical systems. Thus, an embodiment provides a configurable solution with multi-level workflow that extends beyond user-access to include re-affirmation for roles, assets, controls and physical access including, but not limited to, certifications.

It should be appreciated that an embodiment provides a highly visual system solution with powerful graphical modeling capability to automate, monitor and track the numerous re-affirmation projects that risk and compliance analysts, IT security and business managers may have to complete. Additionally re-affirmation tasks are set up as individual projects with business and IT stakeholders identified. The embodiment automates the scheduling, the frequency and the levels of workflow within the application.

An embodiment of a manager for re-affirmation can be understood with reference to FIG. 11. FIG. 11 is a sample screen shot showing the powerful role modeling capabilities that include visual simulation of risks and the ability to add or remove transactions related to that role and see the resulting impact.

Features

-   -   Quickly and visually reaffirm access, roles, risks, assets,         certifications and training.     -   Flexible scoping capabilities for re-affirmation projects     -   Intuitive visualizations for enhancing business and IT alignment     -   Configurable workflow with visual design for holistic impact         analysis     -   Automated security and compliance data extraction from ERP, IDM,         Human Resources and GRC systems for analysis     -   Search for various entities like users, roles, risks, controls         etc and see the relationships through a visual representation         with drill-down     -   Reports and dashboards for process monitoring, auditing and         administrative functions

Customer Benefits

-   -   Detect, notify and then prevent incidents including thefts,         sabotage and acts of terrorism     -   Provides most comprehensive view of risk combining logical and         physical security     -   Reduces cost of compliance by eliminating silos and duplicate         spending     -   Verifiable compliance with regulations, standards and best         practice frameworks     -   Secures the gap between critical assets, IT systems and business         applications     -   Reduced audit preparation time and cost

An Exemplary Manager for Remediation for Delivering the Power of Visual Risk Analysis and Remediation

Sometimes the Biggest Threat is the Threat from within.

An embodiment of a remediation manager provides a highly visual system solution with powerful graphical modeling capability to remediate risk and SoD violations from a common user interface in a single session without the need to traverse through dozens of applications screens. IT security, compliance analysts and business managers can collaborate to arrive at the best remediation decision by visualizing the impact prior to applying remediation actions. With such subsystem, remediation teams may visualize SoD violations, roles and related risks within the same context, on the same screen.

An embodiment provides a highly visual software solution with powerful graphical modeling capability to remediate risk and SoD violations from a common user interface in a single screen session. The embodiment promotes promoted alignment between business and IT functions and includes data from multiple sources, different ERP systems, Identity and Access Management, Corporate Directories, HR systems, and GRC applications; displayed in a business friendly context.

An embodiment for remediation can be understood with reference to FIG. 9. According to the embodiment, a user may drill down on a risk item, which may show the details of processes, transactions, roles with permissions and the users in one screen. The embodiment may initiate remediation actions with a single click, thus providing powerful actionable response to risks.

Features

An embodiment provides particular features listed, but not limited to those below:

-   -   Easy to understand—Business and IT can get aligned by viewing a         common set of data.     -   Quickly and visually identify security and compliance violations         and exposure points; and remediate these violations.     -   Automated security and compliance data extraction from ERP, IDM,         Human Resources and GRC systems for analysis     -   Search for various entities like users, roles, risks, controls         etc and see the relationships through a visual representation         with drill-down     -   Actionable visualization through which changes can be made to         users, roles, risks and simulated before those changes are         performed in the target systems

Customer Benefits

-   -   Promotes visual collaboration between IT and business functions         to remediate risk     -   Reduces cost of compliance by eliminating costly and time         consuming process of reviewing textual data     -   Visual simulations allows impact to be viewed prior to investing         in remediation actions     -   Provides most comprehensive view of risk combining logical and         physical security     -   Verifiable compliance with regulations, standards and best         practice frameworks     -   Secures the gap between critical assets, IT systems and business         applications     -   Reduced audit preparation time and cost

AlertInsight Storyboard

An embodiment provides particular processes for rapid risk identification, visualization, remediation, and role redesign, such as AlertInsight subsystem 402, in a story board presentation as follows. It should be appreciated that the following is to be illustrative only and is not meant to be limiting.

An embodiment provides a logon interface to the end user consistent with other applications of alert enterprise system 100. A customizable application homepage is provided that provides a dashboard view on risks and a list of any outstanding tasks. An Interactive Role Details Visualization screen is provided that visually displays risks associated with roles, users, and assets. A SAP Role Representation-Technical View is provided that provides a default technical view of transactions that form part of the role and the user that has the role. A SAP Role Relationships Business View is provided that simplifies the complex technical definitions into business friendly text for assimilation. A SAP Role Relationship Actionable Menu is provided that provides the ability to execute tasks on the role from the interactive screen. An Actionable Risk Analysis screen is provided; root cause analysis can be performed for highlighted risk and other associated actions like add mitigation control, remove user from role can also be performed from this screen. A Risk Analysis screen is provided that shows that the risk analysis indicates the cause of risk due to two transactions inherent in the role being analyzed. A Risk Remediation view is provided where the user may remediate the risk identified e.g. by removing the transactions from the Role being analyzed. A confirmation of the risk remediated and current risk status is provided. The visual may be changed to reflect dotted lines to indicate completed risk remediation. A User Analysis View is provided. Any user can be searched from within the application for access, any relevant risks or other user information. A User to Corporate Assets view is provided. Such view provides detailed view of all corporate assets owned by the user. A User to System Access View is provided. Such view provides detailed view of system accesses of the user. A User to Access Detailed View is provided that offers a drill down level view of the system access. A User Supplemental Information view is provided that provides additional information on the user being analyzed from corporate directories. A User to Role within Systems view is provided where associated roles of a user profile may identify a role with inherent risk. A Risk Mitigation view is provided that is used for mitigating risk on account of the role interactively. As well, a view is provided that shows that completed risk mitigation reflects the highlighted changes on the roles of the user. A reports view is provided for out-of-the-box reports on risks, roles, users and related accesses.

An Exemplary Subsystem—Alertcertify

An embodiment provides an exemplary subsystem for user and role recertification and reaffirmation 404, referred to herein for convenience as AlertCertify.

AlertCertify Storyboard

An embodiment provides particular processes for user and role recertification and reaffirmation, such as AlertCertify subsystem 404, in a story board presentation as follows. It should be appreciated that the following is to be illustrative only and is not meant to be limiting.

Subsystem 404 provides a logon interface to the end user consistent with other applications and subsystems of alert enterprise system 100. An embodiment provides a customizable application homepage that provides a dashboard view on outstanding tasks and a pictorial view of the progress indicators. A setup screen defines reaffirmation projects—their type/owner/schedule. Such screen provides the set up options on a reaffirmation project. A project may span multiple systems and may be of different type. Project Type definition determines the additional attributes associated with the reaffirmation project. Scope definition enables addition of filters and exceptions for project creation. The display options available to the approver for any request are configurable from the set up screens. Scheduling and workflow enablement for the reaffirmation projects are also completed from the set up screens. The setup screen enables the user to associate desired deadline with each process name and modify templates for notifications. A confirmation upon successful creation of a project provides the user the ability to move to the next task. A reaffirmation request provides the roles owned by the approver to be reviewed. It also has a count of the users and status pertaining to the review of each role. The detailed role view from the request displays the attributes, users and risks associated with the role being reviewed. An expanded attribute view displays the transactional attributes linked to the role. Each of the attributes provides an actionable icon to approve or deny the attributes on the role. Each of the attributes give the approver the ability to add a note against the action performed for the attribute; e.g. this is at a group level and a line item level. The users expanded view indicates the individuals that have access to the role being reaffirmed. A progress indicator reflects overall completion status on the reviews done on the request. Subsystem 404 provides the ability to save the actions taken as a draft or submit a completed request. A confirmation of the submission of the request is displayed to the approver to complete the action. Reaffirmation of the users as part of the request may provide a tabular view on users' roles and may display a review status. Subsystem 404 provides a graphical representation of the users that form part of the request. The interactive visualization of the request displays risks and roles linked to the user being reaffirmed. Upon review of the request interactively subsystem 404 updates the review status for the corresponding user. A detailed grid user view is provided that lists risks associated with the roles and accesses of the user. A confirmation of the submission of the request is displayed to the approver to complete the action.

An Exemplary Subsystem—Alertaccess

An embodiment provides an exemplary subsystem for logical and physical access management, on-boarding and off-boarding 406, referred to herein for convenience as AlertAccess.

It has been found that the world never stops turning and neither does the clock. Around the world, around the clock, business runs on IT. Securing business means securing the underlying IT infrastructure—the applications and the systems they run on. Organizations need employees, partners and customers to access applications right now to get their jobs done. Customer information must be secured, privacy must be protected and corporate assets secured. This may mean tracking not only who has access to business systems, but who has physical access to critical facilities and corporate assets. Threats are everywhere and risks abound.

Further, it has been found that current methodologies look for risk after provisioning users. Such technique is considered to be like closing the barn door after the horse has bolted.

It further has been found that more regulations require more oversight and of course more ever changing rules. Information Security professionals need to worry about insider threats as much, if not more than attacks from the outside. Figuring out the balance between how much access is enough and making sure the job gets done may be difficult. Throw in compliance with regulations and corporate policies on top of that. User provisioning for hundreds and sometimes thousands of employees across multiple enterprise systems may make the task un-scalable.

Access for HR systems, Active Directory, ERP systems and Business-Critical applications is being handled in silos, such as those depicted in FIG. 5 a. In the current regulatory environment auditors are more meticulous and are uncovering many kinds of control violations. Organizations are under more pressure than ever before to manage risks from user access.

A Risk-Based User Access Management and Provisioning System Solution

An embodiment provides a risk-based user-access management and provisioning system for providing such solutions. An embodiment, such as subsystem AlertAccess 406, may analyze risk across applications in multiple domains that include IT Systems, Physical Access Control Systems and Process Control Systems to detect and monitor risks prior to enabling user access.

An embodiment utilizes a roles-based, rules-driven framework for access management. Organizations can realize substantial cost savings and efficiencies through reduced audit costs, reduced time-to-compliance. The embodiment is architected to take advantage of existing Segregation of Duties (SoD) engines, as well as Identity and Access Management systems for ERP applications and provide an enterprise view for access control exposure across the enterprise.

Referring to FIG. 1, it can be understood that an embodiment may analyze risk across multiple domains that include IT Systems, Physical Access Controls and Process Control Systems prior to enabling access.

A Roles-Based, Rules-Driven User Access Management System Solution

An embodiment of alert enterprise system 100 provides a unique risk management capability that aggregates blended threats from IT systems, Physical Access Control Systems and Critical Control Systems and uncovers previously undetectable risks. By analyzing and correlating all networked access events and integrating data from HR applications, the embodiment may ensure that critical infrastructure access is denied for those who would pose an intentional or unintentional threat.

An embodiment can be understood with reference to FIG. 12. FIG. 12 is a sample screen showing five roles to be added. Two are of physical type for a facility badging system, two are of logical control type for a plant distributed control system, and the last is of logical type for an ERP system.

Particular Capabilities

An embodiment provides particular capabilities for AlertAccess 406, such as, but not limited to the following:

-   -   Analyze blended risks across the entire enterprise—IT         Application, Databases, Networks and Physical Systems     -   Monitor access to IT Systems, Facilities, Critical Assets and         High Impact Applications.     -   Leverage roles and policies in existing Identity and Access         Management and GRC software.     -   Perform risk analysis at the object and organization         level—Assign mitigating controls and ensure compliance     -   Identify risks related to physical locations, and corporate         assets     -   Enforce user access policies based on certification and         training.     -   Manage employee/contractor onboarding and off-boarding processes     -   Automate testing and controls for regulations including         NERC-CIP, CFATS, HIPAA and FISMA.

Solution Benefits

-   -   Eliminate risk of theft, fraud, sabotage and terrorism     -   Provides cross-enterprise user access enforcement     -   Leverage existing investments in Identity Management and GRC         software     -   Eliminate waste and inefficiency by reducing non-productive         on-boarding time     -   Eliminate risks, loss of corporate assets and data leakage         during off-boarding     -   Enable secure and auditable management of user access by         business owners.

AlertAccess Storyboard

An embodiment provides particular processes for logical and physical management, onboarding and offboarding, such as AlertAccess subsystem 406, in a story board presentation as follows. It should be appreciated that the following is to be illustrative only and is not meant to be limiting.

An embodiment provides a User Self Service Screen that presents representations of available options for request and use categories. A User Self Service Access Request Form is provided that provides a detailed user access request form with customizable fields. A Resources Selection Page—Requestor View is provided that provides a representation of available resources to obtain access from and the ability to select the profile based on any other user or available categorization. A view for Resource selection and modeling from desired profile is provided that enables the requestor to choose a desired user to mimic access with other advanced options and available categories. A user request summary screen is provided that allows the user to validate with a summary and view the contents of the request prior to final submission. A view a request queue is provided that displays the requests in various stages of the workflow with their unique identifiers and associated status. An approver view of a submitted request is provided that allows the approver to be presented with an itemized view of the contents of the request to ease the approval process. A view is provided for the listing of risks associated with granting access per request. The screen lists the risks linked to the granting of access per request. A view is provided for the listing of mitigating controls for identified risks. The approver is presented with the associate mitigation control to the identified risk. A view is provided for presenting evaluation of risks associated with request. The evaluate risk tab analyses possible risks associated with the request and presents them to the approver for further analysis. An Approver (Manager) view of requests is provided. The Approver (Manager) has a summary view of the requested resources that belong to this request. A Policy Maintenance Screen is provided. Policies enforce rules onto the provisioning process in an automated manner and allow for customizing attributes enforced thereby. A view for Policy Detailed Definitions is provided. Policies created may be enforced and prioritized based on execution of rules inherent within the policy. A Workflow Process Designer view is provided. For example, a drag and drop workflow enablement tool is used to set the process on ease of use. A view of listing of process configurations available out of the box is provided. A pre-defined set of process configurations that exist within the application as listed. A Workflow Rules view is provided. Out of the box workflow rules give the ability to add, modify, or delete the applicability parameters for policy enforcement. A Rule Definition Screen is provided. The rule definition view provides the ability to identify applicability and additional attributes. A Reports Capability view is provided. Subsystem 406 provides out-of the box reports and provides custom reports development as part of configuration.

An Exemplary Subsystem—Alertwatch

An embodiment provides an exemplary subsystem for privileged user management and monitoring 408, referred to herein for convenience as AlertMonitor.

What do You do when the Very People Entrusted with Running Your Most Critical Systems and Applications are Turning to the Dark Side?

An embodiment provides an AlertWatch subsystem 408 that provides the ability to give administrators or technicians, highly privileged access for pre-set duration to conduct emergency response to incidents presently occurring. During this special access period all tasks are monitored, analyzed and logged ensuring complete visibility and transparency. When the tasks are complete, the normal restrictions to access are automatically restored while avoiding potential high-impact vulnerabilities. The subsystem 408 provides an innovative solution that extends the risk analysis of IT access to include Physical Access Control Systems (PACS) as well as video surveillance. Such system provides a more complete picture of systems, applications, facilities and critical assets that a privileged user has touched while they have enhanced access.

In an embodiment, subsystem 408 provides a privileged user management subsystem that includes, but is not limited to the following:

-   -   Monitor emergency access to all applications and assets     -   Peruse large activity logs with search engine provider-like         search capabilities     -   Continuously monitor super-user activity and enforce policies     -   Rich alerting and response capabilities including automated         remediation     -   Logging and reporting for compliance and audit support

It has been found that it is no longer sufficient to monitor just IT access alone. Real-world incidents don't occur in IT and non-IT silos. Events that occur in any one domain by themselves may appear completely innocent. When correlated with physical security, events or changes in critical processes may paint a more sinister picture.

An embodiment provides subsystem 408, which provides a system solution that monitors privileged access across enterprise and legacy applications and then extends the correlation of IT access to physical access controls as well as video surveillance.

An embodiment of a privileged user management and monitoring system can be understood with reference to FIG. 13. FIG. 13 is a sample screen showing how a user may track and log privileged access for IT applications as well as physical access to facilities and critical assets, thus providing a complete risk posture across many applications. In particular, FIG. 13 shows a list of events that took place during an individual's privileged access session. High risk items are automatically identified. The embodiment allows drilling down into particular events.

According to an embodiment, AlertWatch subsystem 408 is a multi-domain, multi-platform privileged user management application. It enables organizations to automate the monitoring of individuals entrusted with the most critical access in the organization. Auditors and regulators have stepped up the focus on closing this gap. AlertWatch subsystem 408 enforces the least privilege principle in an organization and ensures business run with minimal risk even if privileged critical access is used to in an operational environment. The application delivers compliance with various regulations and monitoring of supervisory access across IT and physical access controls systems.

Features

An embodiment provides particular features such as, but not limited to, the following:

-   -   Grant and monitor temporary emergency access to Major ERP and         Legacy Application     -   Extend emergency access monitoring to physical access and         industrial control systems     -   Manage granting, monitoring and removal of emergency access         privileges     -   Identify and manage complex access risk and compliance         violations     -   Configure and actively enforce access policies with notification         workflow     -   Peruse large activity logs with sophisticated search         capabilities     -   Rich alerting and response capabilities including automated         remediation     -   Powerful visual user interface enables collaboration between         Business and IT

Benefits

An embodiment provides particular benefits such as, but not limited to, the following:

-   -   Uncover risks lurking between application and operating system         silos     -   Single interface to manage insider threat and for IT, Physical         Access Control and Critical Assets     -   Unify disjointed processes of granting and removing access         privilege in a single application     -   Eliminate mistakes and oversight such as forgetting to remove         emergency access     -   Ability to intercept and respond to incidents in real-time     -   Stay in continuous compliance at all times     -   Sophisticated logging and reporting for enhanced audit support     -   Actively enforce policies with mitigating controls like video         surveillance and proximity sensors.

Best-Practice Recommendations to Reduce Insider Threat

An embodiment provides best practice recommendations to reduce insider threat and provides the underlying alert enterprise system 100 and subsystems to perform such best practices. Such best practices include, but are not limited to, the following:

-   -   Organizations must deal with insider threat as a security         incident—not just cyber or physical or safety     -   Implement systems to correlate information from ERP         applications, facilities, critical assets, and control systems     -   Develop an Insider Incident Response plan—leverage existing IT         and Surveillance systems to provide real-time situational         awareness to operational managers     -   Create a program to monitor privileged users like system         administrators even closer—leverage Key Risk Indicators (KRIs)         and Risk Libraries     -   Terminations: Deactivate IT Access and Physical Access         immediately.

An Exemplary Subsystem-Alertroles

An embodiment provides an exemplary subsystem for cross-systems role management and mining 410, referred to herein for convenience as AlertRoles. In an embodiment, AlertRoles subsystem 410 provides intelligent role lifecycle management.

An embodiment provides techniques that help organizations manage roles and entitlements including their definition, modeling, and lifecycle management for various resources including ERP applications, legacy systems, physical badge access systems and control systems. AlertRoles subsystem 410 seamlessly integrates with SAP, Oracle and other enterprise applications based on a core understanding of each intrinsic security model.

In an embodiment, AlertRoles subsystem 410 provides a comprehensive intelligent role lifecycle management application that includes:

-   -   Role Modeling: flexible role modeling capability that allows for         custom models based on resources, enterprise roles etc.         Customers may build roles using these models.     -   Role Repository: enterprise, business or resource level roles         may be defined in a central repository and driven by role         models. Relationships to organizational structure and jobs may         be defined as well as when the role should be provisioned.     -   Role Mining: rules engine which may recommend new roles based on         pre-defined role models and best practice rules. Roles         assignment may be based on policies, existing roles,         entitlements, usage, and relationships.     -   Role Lifecycle Management monitors change management for roles         and entitlements including the assignment of roles and         entitlements to users based on various policies. AlertRoles         subsystem 410 detects changes done directly in backend systems         like SAP or Oracle. Changes that that might circumvent the         prescribed process can be tracked as exceptions.     -   Role Analytics: Providing powerful analytics that may help with         optimizing roles. These analytics may include who has the roles,         relationships, usage, changes and assignments.         You have 10,000 Employees and 100,000 Roles! What's Wrong with         this Picture?

It has been found that managing roles within the enterprise manually is a costly and time consuming process that can cost millions of dollars. These processes are difficult to scale and the organization ends up with a proliferation of roles that spin out of control, jeopardizing compliance and security. Added to the cost and complexity, is the burden on IT during internal and external audit periods.

An embodiment streamlines the management of roles and eliminates the need to manage and audit access for each individual user. Access management processes may be automated assisting with the entire onboarding and offboarding process particularly during the assignment of resources and access to critical systems and assets.

An embodiment enables role mining across multiple brand enterprise applications, identity and access management systems as well as GRC and directory services. Creating roles based on business requirements, current roles and enterprise policies, enables the management of access in a more efficient, secure, and compliant manner.

An embodiment can be understood with reference to FIG. 14. FIG. 14 is a sample screen for modifying a role, according to an embodiment. A details panel presents and receives input about particular details about particular roles. A steps panel is shown, which lists a series of steps that are determined that a user should perform. Shown is the first step is selected, i.e. Attributes. Details about the Attributes step are presented in the third panel. For example, it is shown that the role sub-type is business. As another example, it is shown that role level is high. Thus, FIG. 14 shows that AlertRoles subsystem 410 features a role repository that contains role definitions. With powerful search capability, even thousands of roles may be reviewed and managed. Roles may be modified based on pre defined attributes, policies and relationships.

In an embodiment, AlertRoles subsystem 410 helps organizations manage roles and entitlements including their definition, modeling, lifecycle management, etc., for various resources including ERP applications, legacy systems, physical badge access systems and control systems. AlertRoles subsystem 410 seamlessly integrates with SAP and Oracle based on a core understanding of each intrinsic security model.

Features

An embodiment provides particular features that include, but are not limited to, the following:

-   -   Manage roles and entitlements     -   flexible role modeling capability—custom models based on various         other attributes     -   Manage roles across ERP applications, legacy systems, badge         access systems and control systems     -   Includes best practice roles model templates that can be         customized     -   Roles for different applications and systems to be defined in a         single roles repository     -   Recommend (new) roles based on configurable roles models     -   Match customer change management processes for deploying roles     -   Detect changes made on backend systems (e.g. SAP, Oracle) to         circumvent change process

Benefits

An embodiment provides particular benefits that include, but are not limited to, the following:

-   -   Automate time consuming manual processes to reduce cost     -   System of record for roles management—supports audit and         compliance     -   Single roles repository allows uniform security policies to be         applied across multiple applications     -   Innovative support for user provisioning and access         authorization across IT, physical and control system domains     -   Automated workflow and approval significantly cuts down approval         time     -   Role modeling allows risk analysis prior to provisioning

An embodiment of AlertRole subsystem 410 can be understood with reference to FIG. 15. FIG. 15 is a schematic diagram showing an automated schedule to kick off role affirmation and/or certification, according to an embodiment. In response to the automated schedule to kick off role affirmation and/or certification, workflow routing requests for particular managers (e.g. Manager 1 and Manager 2) and role owners (e.g. Role Owner 1 and Role Owner 2) are initiated.

An Exemplary Subsystem—Alertaction

An embodiment provides an exemplary subsystem for geo-spatial monitoring and remediation of cross-enterprise threats 412, referred to herein for convenience as AlertAction.

In an embodiment, AlertAction subsystem 412 provides continuous monitoring and automated incident response.

As the number of regulations grows exponentially, so do the reporting requirements for fraud, intrusions and security incidents. Individuals and groups are mounting organized campaigns that target IT systems, Physical Access Systems and Control Systems. Companies that just monitor IT incidents without taking physical access and control system security into account are leaving themselves exposed to huge risks.

In conjunction with alert enterprise system 100, AlertAction subsystem 412 monitors and reports on blended threats that exist across these domains and allows organizations to provide a coordinated response.

In an embodiment, AlertAction subsystem 412 combines risk analysis, continuous monitoring, geo-spatial scene analysis, fraud detection and real-time remedial action scripts to provide a visual command and control application for unfolding incidents.

AlertAction subsystem 412 immediately enhances the protection of high-value business applications, critical infrastructure installations, defense and intelligence application and legacy applications where it is important to monitor who has access to critical applications and what they are doing with that access. An embodiment provides Remedial Action Strategies (RAS) that provide policy-compliant actions to incident responders.

An embodiment can be understood with reference to FIG. 16. FIG. 16 is a sample screen showing six views about particular security aspects for a particular individual, according to an embodiment. For example, the top left view shows current alerts. The window to the right shows a pie chart of compliance violations. The following view to the right shows the current risk status is comparison to an average risk status. The bottom left view shows risks by assets, e.g. a list of critical assets. The next view to the right shows violations by compliance and level. The last view at the bottom right shows a geo-spatial view of assets, where such assets depict a particular level of risk.

Thus, as can be shown in FIG. 16, AlertAction subsystem 412 may provide information to situation managers in security as well as operational roles via configurable roles-based dashboards that include risk, compliance and incident information. Geospatial capabilities automatically pin-point the location of the incident and provide drill-down capability for optimum response.

In an embodiment, AlertAction subsystem 412 provides geo-spatial monitoring and remediation of cross-enterprise threats, serious acts of sabotage, terrorism, fraud and theft etc. The system solution offers capabilities to co-relate seemingly innocent events and activities to detect real threats and risks, while providing powerful alerting and automated RAS for decisive action.

An embodiment can be understood with reference to FIG. 17. FIG. 17 shows a sample screen shot of a physical substation that is defined as a critical asset in a utility network. As can be understood from FIG. 17, AlertAction subsystem 412 may identify a physical intrusion incident occurring at the substation. In an embodiment, AlertAction subsystem 412 overlays this facility on Google Maps, by Google, Mountain View, Calif., to automatically locate the source of the threat.

An embodiment can be understood with reference to FIG. 18. FIG. 18 shows a sample screen shot of a model room of a facility overlaid by a video view of the actual room and the activity therein. Situation managers may zoom inside the facility and view a model of the control room that has cameras and door locks etc. set up as smart tags in the software. Clicking on the camera icon pulls in live video from the surveillance system allowing managers to verify the incident and then remotely lock doors while informing first responders or law enforcement of the incident underway.

Features

An embodiment provides particular features that include, but are not limited to, the following:

-   -   Fully configurable command and control dashboard view with the         ability to send alerts through email, SMS, wireless mobile etc.     -   Connectors to Physical Access Control, Building Controls and         Sensor Networks     -   Automated event collection and analysis.     -   Pre-integrated with major ERP and business applications     -   Fast situation analysis via geo-spatial visualization layered on         Google Maps and Microsoft Virtual Earth, by Microsoft, Redmond,         Wash.     -   Support for industry specific regulations—CFATS, NERC-CIP, NRC         etc.     -   Automated Remedial Action Strategies (RAS) to assist situation         managers and first responders

Benefits

An embodiment provides particular benefits that include, but are not limited to, the following:

-   -   Correlate seemingly innocent events to deuce to resolve blended         threats and vulnerability.     -   Deliver location spaced geo-spatial information to respond to         events accurately in real-time     -   Leverage investments in surveillance systems, sensor networks         and other automation systems to get rich visual scene         representation     -   Real-time detection and interdiction reduces losses by stopping         incident from progressing     -   Can be deployed as an add-on system without requiring any system         or equipment replacement     -   Active Policy Enforcement guarantees continuous compliance with         regulations and standards at all times.

AlertAction Storyboard

An embodiment provides particular processes for geo-spatial monitoring and remediation of cross-enterprise threats, such as AlertAction subsystem 412, in a story board presentation as follows. It should be appreciated that the following is to be illustrative only and is not meant to be limiting.

An embodiment provides a summary listing of all active alerts. A line level item detail view provides tasks associated with the particular alert. Remediation scripts associated with the alerts can be pre-configured to execute at a specified time or trigger based on a particular event. The line level summary of the task associated with the alert is actionable, subsystem 412 also provides the user an ability to create a new task to associate with this alert. A live video feed provides the responder crucial information to determine the nature of alert and take further action or to reject the alert to take no further steps. Subsystem 412 provides the user the status of completion of each remediation script item. A geo-spatial view of the alert is also provided by the application as part of the executable tasks. Drill down geo spatial feed gives the responder a complete scenario view on the alert. Subsystem 412 gives a visual interface to the risk that is detected and provides actionable tasks to the responder of the alert. Subsystem 412 provides a single interface by connecting the CCTV camera installed in the sabotaged zone of the location to make meaningful decisions. Zoom capability is provided. Subsystem 412 provides the ability of the responder to initiate a lockdown of the zone to isolate the incident and to contain cascading damage.

An Exemplary Subsystem—Alertcontrols and Alertmonitor

An embodiment provides an exemplary subsystem for sustainable compliance with continuous controls monitoring 414, referred to herein for convenience as AlertControls.

An embodiment provides controls documentation, testing and compliance computer-implemented subsystems.

According to an embodiment, AlertControls subsystem 414 provides an intuitive and effective automated compliance program that can scale to monitor and test controls for cross-enterprise processes. Built-in controls covering multiple regulations, standards and frameworks reduce costs and streamline compliance by eliminating a multitude of point solutions and duplicate controls testing. With AlertControls subsystem 414, organizations may automate controls testing and deliver workflow-based remediation capabilities. AlertControls subsystem 414 extends beyond IT into the enterprise to include controls from Physical Access Control Systems and Industrial Control Systems to correlate blended threats, detect fraud and provide unprecedented protection from sabotage and malicious insider threats.

It should be appreciated that organizations are facing a crushing burden as they try to comply with increasing regulations and more intensive audits. Many regulations require that risk assessments include controls beyond IT.

Documenting controls is an essential step but it only provides a compliance snapshot in time, leaving too much room for error and potential for corporations to miss possible fraud or serious mistakes that could ruin corporate brand or reputation in addition to revenue losses and fines.

Thus, an embodiment provides automation of the compliance process. With AlertControls subsystem 414, companies may conduct multiple assessments simultaneously, test controls across multiple regulations and frameworks including ISO 27001/27002, NIST SP800-53, SOX, HIPAA, NERC-CIP, CFATS, PCI DSS etc., automate human response via e-surveys, eliminate duplicate testing and leverage built-in configurable workflow to adapt to existing structures and business processes.

It should be appreciated that with AlertControls subsystem 414 organizations can perform the following, but are not limited to performing the following:

-   -   Leverage a business-friendly, intuitive compliance program that         is easy to use and ensures sustainability     -   Reduce cost and eliminate duplicate applications by leveraging         the built-in multi-compliance framework and generic controls         engine to automate controls testing across regulations     -   Decrease their Total Cost of Ownership (TCO) exponentially by         leveraging a modular design to include new controls.     -   Scale their compliance program to an enterprise-level across         hundreds of thousands of transactions.

An embodiment can be understood with reference to FIG. 19. FIG. 19 shows a sample screen shot of how users are allowed to select compliance frameworks from multiple authoritative sources when testing controls delivering a continuous compliance automation solution. FIG. 19 shows a compliance framework tab is selected. Particular details are presented. For example, the control status is shown to be active. As another example, the control type is shown to be access. As a third example, the trigger type is shown to be time-based.

According to an embodiment, AlertControls subsystem 414 is an enterprise-level system that allows companies to conduct multiple assessments simultaneously, test controls across multiple regulations, include human response via e-surveys, and automate testing of controls and leverage built-in configurable workflow to adapt to existing organizational structures and business processes.

Features

An embodiment provides particular features that include, but are not limited to, the following:

-   -   Active testing of Transactional, Master Data and Application         Controls     -   Continuous controls monitoring capabilities     -   Ability to aggregate risks across enterprise applications         including Oracle, SAP, PeopleSoft etc.     -   Web-based application that integrates with portals to conduct         risk and compliance management     -   Common Controls Repository for Rationalizing Controls across         Frameworks     -   Support for Multiple Standards, Regulations and Best-Practice         Frameworks     -   Support for Control Documentation and ability to attach evidence     -   Automated assessment support for assets, people, processes and         applications     -   Automated Controls Testing including e-Survey capability     -   Integrated with Security Automation Tools and Web-feeds     -   Built-in workflow to mirror organization's existing practices

Benefits

An embodiment provides particular benefits that include, but are not limited to, the following:

-   -   Creates a sustainable, repeatable process for continuous         compliance     -   Integrated with correlation engine to detect threats and fraud     -   Reduces the time-to-compliance by eliminating duplicate testing     -   Enterprise-wide system-of-record for tracking many assessments     -   Eliminate dependence on spreadsheets and emails to complete         assessments     -   e-Surveys deliver human response automation to reduce time and         complexity     -   Track and store electronic evidence for audit support     -   Assign and track compensating controls

As can be understood from FIG. 1, AlertControls subsystem 414 provides continuous control monitoring across multiple regulations.

Further, AlertControls subsystem 414 provides continuous controls monitoring to:

-   -   Drive compliance accountability into the organization     -   Insure that each control is performing effectively     -   Standardize compliance procedures and retain knowledge     -   Actively enforce policies by making sure that controls remain         active inbetween audit cycles

AlertControls Storyboard

An embodiment provides particular processes for sustainable compliance with continuous controls monitoring, such as AlertControls subsystem 414, in a story board presentation as follows. It should be appreciated that the following is to be illustrative only and is not meant to be limiting.

Subsystem 414 provides components of the risk library and displays such components on a screen from defining controls, the associated components and testing of the controls. The entities list on the screen are related and may be associated with one another and to the controls defined by the entity. Subsystem 414 provides for operational and reporting flexibility. Subsystem 414 provides an organization setup screen that allows the entities to define the hierarchical structure of their organization as it pertains to their framework. Subsystem 414 provides a process setup screen that allows the entities to define the hierarchical structure of their business or IT or any other processes as it pertains to their framework. An objective setup screen is provided that allows the entities to define the hierarchical structure of their business objectives or goals associated with processes and projects or controls. A compliance framework setup screen is provided for defining regulations mandated for the entity or any desired compliance framework and used for associated with any of the attributes. A process setup screen is provided for the components of the risk library to be displayed from defining controls, the associated components and testing of the controls. A controls search screen is provided for displaying the components of the risk library from defining controls, the associated components and testing of the controls. The components of the risk library are further displayed in a controls listing screen from defining controls, the associated components and testing of the controls. As well, components of the risk library are further displayed in a controls definition screen from defining controls, the associated components and testing of the controls. Subsystem 414 provides a control set definition screen. Such subsystem gives the ability to group the controls to create a control set; such feature enables batch execution of automated controls. A scheduling test of controls screen is provided; such screen gives the ability to select from available set of controls to execute operation of the controls. A scheduling of controls screen is provided for testing controls based on pre-set timeframes or manually scheduled giving flexibility to auditors and control owners to verify controls on an ad-hoc basis. A test steps creation screen is provided for manual testing of controls. Test steps are created to help control testers to use a guided procedure to execute controls testing. A test plan creation screen is provided to create test plans that aggregate test steps and associated them with controls that are being tested. An automated controls testing screen is provided for rule definition. Rule definition is a highly flexible feature that gives the ability to define conditions and execute rules—time-based or event-based. Automated controls are tested with such rules. A home page of the user is provided that is customizable with configurable dashboards and lists the tasks that the user is assigned to perform. A test plan task detail screen is provided that to display assigned test plans on the home page of the control owners. Detailed plan execution steps are presented from the homepage upon clicking the task item. A dashboards setup screen is provided for presenting drill down dashboards. Such dashboards may be executed for control failures based on associated parameters. A dashboard drill down screen is provided that generates a report on the cause of control failures. Further, the details of the failed control may be displayed to the test step level; such reports may be exported to different formats, such as pdf, excel or word formats.

An Exemplary Subsystem—Segregation of Duties

An embodiment provides a risk and vulnerability management system solution.

Overview

An embodiment provides a holistic risk and vulnerability assessment system solution, referred to herein as AlertInterceptor subsystem, that can identify access risks such as Segregation of Duties, Critical Access, Over Access, Super user access etc. across various ERPs, IT Applications, Facility Access Systems and Assets. AlertInterceptor deliver configurable rule sets that can be customized to key business applications to discover violations and generate alerts to decision makers. The rules based environment guarantees that changes to the underlying applications can be accommodated with simple rule changes.

Capabilities

An embodiment provides, but is not limited to, the following capabilities:

-   -   highly optimized, generic, cross-platform and fast rule engine         that can analyze entities for risks at a very high rate and         identify blended threats     -   Offers very powerful actionable reporting that provides         capability for remediation and mitigation of risks through a         business-friendly interface     -   Ability to document and analyze risks & vulnerabilities for         multiple compliance standards including SOX, PCI and other         regulatory standards

An embodiment can be understood with reference to FIG. 37. FIG. 37 is a schematic diagram showing particular detect, prevent, and respond step process to provide a continuous risk management process, according to an embodiment.

It should be appreciated that AlertInterceptor subsystem Identifies access risks, such as segregation of duties (SoD), critical access and “Super-User” (administrator) access, across multiple ERPs, IT applications, control systems, PI servers and physical access systems.

Features

An embodiment provides, but is not limited to, the following features:

-   -   Powerful and generic access risk models that can scale to a         multitude of IT apps, facility access and asset management         systems;     -   Industry specific, best practice set of risks and rules for         compliance standards like SOX, PCI, and other regulatory         standards, facilitates faster implementation;     -   Enterprise level solution with ability to report by         organizations, processes, areas etc and encourage collaboration         among business users;     -   Workflow driven risk mitigation and remediation capabilities         allows for easy and automated projects; thus, helping avoid         costly manual remediation and re-design projects;     -   Business friendly risk methodology & interface for creating and         modifying risks and rules;     -   Out of the box reports and dashboards to expedite assessments         and clean-up processes;     -   Complete audit trails with action logs;     -   Out of the box adapters for ERP systems (SAP, Oracle, People         soft), IT Apps (Directory servers, IDM systems etc), Facility         Access Systems (GE, Lenel, JCI) etc;     -   Ability to run enterprise wide cross-platform risk assessments         to provide holistic picture;     -   Ability to integrate with external apps (like user provisioning         etc) for user risk assessment purposes;     -   Canned Security and audit reports and ability for business users         to create own reports on fly;     -   Web based application with an intuitive interface.

Benefits

An embodiment provides, but is not limited to, the following benefits:

-   -   Reduce costs through automation of Audit and Compliance         functions     -   Faster time to compliance     -   Free up IT staff to work on more strategic projects     -   More secure, better visibility

An Exemplary Subsystem—Multi-Regulatory Compliance System Solutions

An embodiment provides a multi-regulatory compliance system solution for managing risks, reducing complexity, and lowering costs.

Overview

Even in the face of challenging economic times, companies have to meet their regulatory compliance obligations just to stay in business. As the number of regulations are continuing to grow and the cost pressures mount, auditors are getting more insistent on conducting complete assessments that include processes, people, IT assets and applications to evaluate risk. Dealing with compliance in silos as an afterthought just doesn't work.

Executives are challenged with responsibility for compliance but they lack visibility into the violations or compliance gaps at the business or IT level. AlertEnterprise delivers a compliance management solution leveraging its risk analysis engine that can look across existing enterprise applications, critical business applications, security automation tools and industrial control systems to aggregate information and conduct a true cross-enterprise risk analysis. Additionally AlertEnterprise is the only solution that extends beyond just risk assessment to provide complete visual remediation of control violations and the ability to mitigate the risk.

It should be appreciated that alert enterprise system 100 provides Common Control and Risk Repository (CCRR) maps controls from multiple standards and regulations to a common framework eliminating duplicate testing, This reduces time to compliance by 70% and reduces audit costs by 30% or more.

Alert Enterprise System 100 Measures Risk Across IT, Business Processes and Control Systems

Most modern day business processes now run on IT systems. A key part of the securing the business is testing the underlying IT controls. This means application security, operating system hardening benchmarks, checking configuration management, patch management and network level security. Many standards and best practice frameworks have evolved that provide a standardized set of General Computing Controls (GCC). alert enterprise system 100 can pull-in control results from security automation like vulnerability scanners, CMDBs, SIEMs, Integrated Security Managers (e.g. Symantec ESM and McAfee ePolicy Orchestrator) and DLP systems. Combining the test results from security automation tools that check for security gaps and vulnerabilities with control results from evaluation of business processes risk delivers the most comprehensive view of risk and compliance across the organization.

Regulations, standards and frameworks from authoritative sources include ISO 27001, ISO 27002, Sarbanes-Oxley, NIST SP800, HIPAA, GLBA, NERC-CIP, CFATS, PCI and many others. Alert enterprise system 100 includes e-survey capability for human response and attestation as well as multi-level workflow to automate the survey gathering and assessment process. An embodiment can be understood with reference to FIG. 1.

AlertEnterprise Multi-Regulatory Compliance Solutions

Alert enterprise system 100 provides a compliance management system solution that works with existing enterprise applications, security automation tools and critical business applications to aggregate information and conducts a true cross enterprise risk analysis. Alert enterprise system 100 Compliance Management system solution normalizes business level controls across multiple regulations, standards and frameworks and combines them with automated General Computer Control (GCC) test results to deliver the most comprehensive view of risk.

An Example of alert enterprise system 100 NERC CIP compliance system solution showing violations is shown in FIG. 38. FIG. 38 is a sample screen shot of the compliance solution showing violations, according to an embodiment.

Capabilities

-   -   Automatic identification of control violations and mapping of         controls to risks.     -   Comprehensive risk analysis, visualization and exception         handling.     -   Powerful translation of controls into rules automating thousands         of line items for testing and remediation.     -   Accept test results from IT automation tools eliminating the         need to re-test.     -   Multi-level workflow to support assessment, e-survey,         attestation and audit functions.     -   Context based visual remediation with the ability to view risks         and remediate in real-time delivering active policy enforcement

Benefits

-   -   Reduces time and cost for meeting compliance requirements     -   Eliminate costly testing and re-testing of controls for internal         assessments, compliance testing and audit purposes     -   Technical controls included as part of standards and regulations         do not have to be manually tested     -   Most comprehensive view of risk with unprecedented visibility         into complex risks     -   Risk management can be “built-in” to the process     -   Remediation of control violations can be automated, managed and         tracked on a common dashboard     -   Active policy enforcement delivers true compliance and security,         not just check box documentation     -   Common Controls and Risk Repository allows content related to         regulations, standards and best-practice frameworks to be         updated by users and customized to the organization's needs

An Exemplary Risk Repository and Control Document Design

An embodiment provides a risk repository and control document particular design. An embodiment of a risk based approach using a six NP model can be understood with reference to FIG. 21. FIG. 21 is a schematic diagram showing a conceptual model view of how risk may affect and have influence over various aspects of an enterprise's assets. For example, risk 2102 may affect an enterprise's projects 2014 that may include auditing processes 2105. Risk 2102 may affect a compliance framework 2106 and its various processes. Risk 2102 may affect an enterprise's general and overall processes 2108. Risk 2102 may affect an enterprise's objectives and goals 2110. Risk 2102 may affect the organizations 2112 of an enterprise, including the products, services, ecosystems, partners, etc. 2113 of the enterprise.

An embodiment for risk and control documentation can be understood with reference to FIG. 22. FIG. 22 is a schematic diagram showing a three-pronged architecture for risk and control documentation according to an embodiment. A control processor 2202 is in communication with a risk processor 2204 and repository 2206, which is in communication with risk processor 2204, for sending messages thereto. Control processor 2202 also sends messages to a function processor 2208, a monitoring processor 2210, and a verification processor 2212, each of which may send respective messages to an owners processor, a scheduling processor, and other processors (collectively, 2214). As well, function processor 2208 is in communication with a function library 2216 that contains SOD rules 2222. Monitoring processor 2210 is in communication with a rule library 2218 that contains event correlation rules 2224. Verification processor 2212 is in communication with a verification library 2220 that contains survey question and answer data 2226 and test cases data 2228.

Report Repository and Registry

An embodiment for report repository and registry can be understood with reference to FIG. 23. FIG. 23 is a sample screen shot showing available reports, according to an embodiment. In the particular sample, a reports tab is selected and four views of available reports are presented. One view shows a partial list of reports that reflect Role Analytics 2302. Another view shows a list of the Top ten (10) Reports 2304. Another view shows a partial list of reports related to User Analytics 2306. Another view shows a list of reports related to Custom Analytics 2308. It should be appreciated that the above particular views are by way of example only and are not meant to be limiting.

Graphical and Summary Report

An embodiment provides a graphical and summary report, which can be understood with reference to FIG. 24. FIG. 24 is a sample screen shot of a graphical representation of a particular report, Active Users with No Access, according to an embodiment. In this example, a top panel 2402 is presented that displays the filtered parameters chosen or other related information. The bottom panel 2402 displays tabular data, as well as data presented in a pie chart and a histogram. It should be appreciated that the particular details displayed are by way of example only and are not meant to be limiting.

Drill Down Report

An embodiment provides information at a detailed level that can be accessed by a user by drilling down to a detailed report. An embodiment can be understood with reference to FIG. 25. FIG. 25 is a sample screen shot of a particular drill down report for roles, according to an embodiment. In this particular example, the all roles view is selected 2502. A particular list of seven roles is presented 2504. As well, for each role, the following attributes are displayed: a name attribute 2506, a description attribute 2508, a type attribute 2510, and a status attribute 2512. It should be appreciated that the particular details displayed are by way of example only and are not meant to be limiting.

An Exemplary Fabric Design Document

An embodiment provides an exemplary fabric design as shown below in Table A. It should be appreciated that such particular details are by way of example and are not meant to be limiting.

TABLE A 1.1 - Workflow Workflow service can be found from spring application context using Service Locator and the below methods are defined. public boolean initiateWorkflow(long reqId, String userId); public boolean approveWorkflow(long reqId, String userId); public boolean rejectWorkflow(long reqId, String userId); public boolean holdWorkflow(long reqId, String userId); public List getAllTasksInProcess(long processId); See slide [6] for extensive information. The workflow service uses the JBOSS BPM to [Need more info from Kalyan] In Alert Enterprise this workflow service is used for: Submitting the request, approving the request. 1.2 - Schedular Schedular can be found from spring application context using Service Locator and the below methods can be used to schedule the program. Specified program once    public boolean scheduleProgram (String programName); Specified program once at specified date/time    public boolean scheduleProgram (String programName, Date    startDate); Specified program in a given interval at specified time/date:    public boolean scheduleProgram (String programName, Date    startDate, Long duration); Specified program in a given interval at specified start/end for time/date    public boolean scheduleProgram (String programName, Date    startDate, Date endDate, Long duration); 1.4 - Connector Accepts Set of input params, List of output params and retunrns single row map Map invoke (Map inputParams, List outputParams) throws ALEApplicationException; Accepts Set of input params, List of output params and retunrns mulitiple row map Map invoke2 (Map inputParams, List outputParams) throws ALEApplicationException; Accepts Set of input params, List of output params and retunrns void Map invoke3 (Map inputParams, List outputParams) throws ALEApplicationException; void close( ) throws ALEApplicationException; void reconnect( ) throws ALEApplicationException; void invoke3(Map inputParams, Map inoutTables) throws ALEApplicationException; 1.8 - Configuration Connector public SysConnector loadSystemConnector(long sysConnectorId) throws ALEApplicationException, ALESystemException; public SysConnector updateSysConnector(SysConnector sysConnector) throws ALEApplicationException, ALESystemException; public List updateSysConnector(List sysConnectors) throws ALEApplicationException, ALESystemException; public void removeSysConnector(SysConnector sysConnectors) throws ALEApplicationException, ALESystemException; public void removeSysConnector(List sysConnectors) throws ALEApplicationException, ALESystemException; These common components are used across the all the module. The abstract explains where the common components are used. 1) Across all the module Logger Utils and Exception components are used. 2) Globalization, Messaging, Business Delegates are used in UI Layout. 2) Data Services are used by all the Config services. 1.9 - Globalization Globalization has two parts to its component, Internalization and Localization. See slide [8] for information; starts with the login screen. Internalization - Displays labels and messages in specific languages based on user selection. GetI18NValue (key, local) → Returns labels for a given key in a given local format. Get118NValue (key) → Returns label for a given key in a default local format. Localization - Displays the dates and currencies in the local specific format. ConvertDatetoDBFormat (date) → Returns date in a default format. ConvertDatetoDBFormat (date, pattern) → Returns date in a given pattern format. ConvertDateToUIFormat (date) → Returns date in the specified date format. The UI date format will be taken from the database. ConvertCurrencyToDBFormat (currency) → Returns currency in a default format. ConvertCurrencyToDBFormat (currency, format) → Returns currency in a given pattern format. ConvertCurrencyToUIFormat (currency) → Returns currency in the specified date format. The UI currency format will be taken from the database. 1.10 - Messaging Used to get error messages in the local specific format. It uses the I18N utility to retrieve the local specific messages. GetMessage (message code, local) → Returns the error message for a given message code in a given local specific format. GetMessage (message code) → Returns the error message for a given message code in a default local format. Get Message (message code, msgArgs, local) → Returns the dynamic message by applying the message arguments. The purpose of the exception is to trace the application handling errors effectively, handling the application and system errors. In the case of when there is a business error related business validation system exception, there are communication errors with the external system. ALNTApplicationException - error codes. ALNTSystemException All these exception are extended from Java exceptions. In addition to that, if it is necessary, the developer can create his or her own exception. Each exception is associated with the error code. The message for the error code is defined in the AlertEnterprise database. These messages are converted to language-specific states using the globalization component. BUSINESS VALIDATION For example, 1 - User does not exist in the external system. 1.13 - Logger Alert Enterprise uses the Log4J component to handle the logging. To trace the application flow, finding the errors and unexpected behavior of the application logging needs to be done effectively. For Alert Enterprise, there are wrappers written on top of Log4J, which uses all Log4J API to log the messages. The entire configuration is done through Log4Jconfigiruation.xml, which contains the location of the log file, format of the logging message, and facility to switch on/off the logging. There are different APIs defined in the logger wrapper:    ALNTLogger.info (class name, message)    ALNTLogger.debug (class name, message)    ALNTLogger.error (clean name, message, exception) 1.14 - Utils All the Alert Enterprise utility wrappers are categorized as utils, which can be used for conversion of data, currency, I18N, messaging, etcetera.    I18N utils:    GetI18NLabel (key, local)    GetI18NLabel (key) Message utils:    GetMessage (key, local)    GetMessage (key, string [ ] args, local)    GetMessage (key) Localization utils:    ConvertDateToDBFormat (date)    ConvertDateToDBFormat (date, format)    ConvertDateToUIFormat (date)    ConvertCurrencyToDBFormat (currency)    ConvertCurrencyToDBFormat (currency, format)    ConvertCurrencyToUIFormat (currency) String utils:    FormatDate (date)    FormatDate (date, pattern)    ParseDate (date)    ParseDate (date, pattern)

An Exemplary SAP HR Implementation

An embodiment provides a particular SAP HR implementation, some details of which are shown in Table B hereinbelow. It should be appreciated that such details are by way of example and are not meant to be limiting.

TABLE B 2.1 - Abstract SAP HR retrieves the HR records from the SAP HR and creates the request in the Alert Enterprise system. When this module is run using the scheduler, it will find out whether there are records added after the last run and creates auto request for these HR records. For SAP HR, exists BAPI (Business Application Program Interface), a program that can be accessed from SAP HR SYSTEMS to any external system, for example, ALERT ENTERPRISE. HIRE → NEW HIRE TERMINATE → LOCK This BAFI finds employee records in the SAP HR, return to the systems that calls this function. Alert has a program called SAP HR DataSynch, which periodically calls this function. The BAPI uses two tables: ysufitrigmast and ysufitrigdet. Four classes used by the main class that is SAPHRDataSynchization:    SAPHrDetailDo.java    SAPHRMasterDo.java    SAPHRServiceException.java    SAPHrServiceImpl.java FIG. 26 shows a process flow diagram, according to an embodiment. FIG. 27 shows an object diagram, according to an embodiment. FIG. 28 shows a sequence diagram, according to an embodiment. FIG. 29 shows a data model, according to an embodiment. 2.6 - Notes SAP HR - the opposite of the provisioning. If there are any changes, it should be updated in Alert Enterprise.

An Exemplary End User Form Implementation

An embodiment provides an exemplary end user form implementation as shown below in Table C. It should be appreciated that such particular details are by way of example and are not meant to be limiting.

TABLE C 3.1 - Abstract For some to create request in the Alert Enterprise system and the request is for creating a new user and assignment roles and permissions for the user throughout various systems. SET-UP → PROCESS ENGINE OneNodeWorkFlow, TwoNodeWorkFlow, ThreeNodeWorkFlow Based on the workflow, the process takes place. The information then follows a workflow in which all the data entered will go through one or many approvers depending on the process:    One-node (in which only one check is done and the user will be    provisioned into the system)    Two-node (in which two checks are required prior to provisioning)    Three-node (in which three checks are required prior to    provisioning) Prior to each check, a mail will be sent to the appropriate approver informing them of the request creation. The mail notifications will not be sent to the second-node or third-node approvers until the approver needed to approve the request prior to them approves the request creation. FIG. 30 is a flow diagram, according to an embodiment. FIG. 31 is an object diagram, according to an embodiment. FIG. 32 is a data model, according to an embodiment.

An Exemplary Risk Analysis Implementation

An embodiment provides an exemplary risk analysis implementation as shown below in Table D. It should be appreciated that such particular details are by way of example and are not meant to be limiting.

TABLE D 4.1 - Abstract Risk analysis is a procedure to identify and assess factors that may jeopardize the success of a project or achieving a goal. The procedure will be called upon in two places - during user self-service and the approver screen. For access, the risk analysis is to ensure security, posing the question: does giving to a certain person, a new access in combination with existing accesses, pose any threat to the company? Risk analysis procedure has two processes of actual analysis:    Rule Engine and Access Risk Engine. For the Rule Engine, the database provides rules and as objects are inputted into the Rule Engine, it returns rules matched. For the Access Risk Engine the engine provides returns to the helpers as new enterprise rules are provided for the ARE. The ARE returns PAL to the PACS helper, SAP roles to the SAP helper, and LDAP groups to the LDAP helper. The PACS helper provides the ARE with readers, the CC helper provides the ARE with CC functions, the SAP helper provides the ARE with SAP roles, and the LDAP helper provides the ARE with groups in return. FIG. 33 is an object diagram, according to an embodiment. 4.5 - Notes JBoss drools → 3^(rd) party rule engine. The procedure of risk analysis is to define preventing actions to reduce the probability of these issues from occurring as well as to identify counteractions to deal with any possible restrictions and limitations when they pose negative effects or threats to the success of the company.

An Exemplary Provisioning Implementation

An embodiment provides an exemplary provisioning implementation as shown below in Table E. It should be appreciated that such particular details are by way of example and are not meant to be limiting.

TABLE E 5.1 - Abstract Provisioning is essentially maintaining the life cycle of a user, from creating the user in the given system and ultimately giving physical (PACS) and logical access to the aforesaid user within the aforesaid system. As provisioning is maintaining the user life cycle, the process begins with the creation of the user with request creation. Request creation has three steps: user info, system info, and role info. After the request has been created with the appropriate user information, along with the desired system and role options, the submission initiates. The information then follows a workflow in which all the data entered will go through one or many approvers depending on the process:    One-node (in which only one check is done and the user will be    provisioned into the system)    Two-node (in which two checks are required prior to provisioning)    Three-node (in which three checks are required prior to    provisioning) Prior to each check, a mail will be sent to the appropriate approver informing them of the request creation. The mail notifications will not be sent to the second-node or third-node approvers until the approver needed to approve the request prior to them approves the request creation. After the final approver approves, the user is provisioned into the system. FIG. 34 is a flow diagram, according to an embodiment. FIG. 35 is an object diagram, according to an embodiment. FIG. 36 is a sequence diagram, according to an embodiment.

An Exemplary Reports/Audit Trials Implementation

An embodiment provides an exemplary reports/audit trials implementation as shown below in Table F. It should be appreciated that such particular details are by way of example and are not meant to be limiting.

TABLE F 6.1 - Abstract Reports are the result of inquiring data sources with different logical models to produce a readable report through the corporate intranet. Reports are classified into three categories:   • Provisioning   • Risks   • User Activity Each of which has available reports. For provisioning, the reports are Audit Trials, which is the audit trial of request approvals, modifications of access details, and request details, List of Requests, a compiled list of requests made, User Provisioning Details, which is the audit trial of user access provisioning into PACS and logical systems, Guest/Visitor Access Reports, which is the guest/visitor access provisioning made into PACS systems, and Contractor Access Reports, which is the contractors/temporary employees access provisioning made into PACS systems. For risks, the available reports are Users Inactive in LDAP and Active in PACS, which are the list of locked/deactivated/terminated employees still having access to PACS systems, Users Inactive in PACS and Active in LDAP, which are the list of employees with access de-provisioned in PACS but are not deactivated in User Identity stores, Users With Multiple Cards In Multiple PACS, which is the list of employees/guest with more than one badge in different PACS systems, Users Having Access to Critical Zones, which are the list of employees/guests with access to critical areas which needs restricted access, Users With Risks, which are the list of users with access which constitutes risk and the risk details, and Users Having Multiple Cards In Same PACS, which are the list of users who have more than one badge assigned in the same PACS system. For user activity, the available reports are User Activity For Critical Areas, which is the list of users who have accessed critical areas in a certain period of time, User Activity Comparison To Job Location, which is the list of users who are accessing facilities other than their job location, User Activity Facility Trace, which is the list of users who have accessed a particular facility during a certain period of time, User Inactivity Report, which is the list of active users in PACS system who are not accessing their job location/facility, User Access Denials, which is the list of all denials/rejections for access to certain areas by the PACS system, User Physical and Logical Activity Co-Relation Report, which is the list of users performing activities in a logical system in a particular area.

A Data Model table can be found below, in Table F.1

TABLE F.1 Provisioning Reports Report Name Program Entity Used Audit Trials RequestAuditTrialSearch saeh_req_hst hst saet_req_hdr hdr SAE_Lookups List of Requests CustomReport saet_req_hdr hdr, reportName=requestDetails SAE_Lookups User Provisioning — Details Guest/Visitor ReportRequestByPersType saet_req_hdr h, Access Reports sae_pacs_accsslvl a, saet_req_dtl det, saem_req_attbt Contractor Access ReportRequestByPersType Reports

A Risk Reports table can be found below, in Table F.2

TABLE F.2 Risks Reports Report Name Program Entity Used Users Inactive in LDAP and Active in PACS CustomReport saem_hr_userdata, reportName=Inactive_User_Active_in_PACS saet_rpt_user_inactive Users Inactive in PACS and Active in LDAP CustomReport saem_hr_userdata, reportName=Active_User_Inactive_in_PACS saet_rpt_user_inactive_pacs Users having multiple cards in multiple PACS CustomReport saem_hr_userdata, reportName=User_Badges_MPACS saet_rpt_user_mcard_mpacs Users having access to critical zones CustomReport saem_hr_userdata, reportName=User_Critical_Access saet_rpt_user_accesszone, saem_re_acszn_defn Users with risks CustomReport saem_hr_userdata, reportName=User_Access_Risk saet_rpt_user_riskaccess, saem_re_acszn_defn Users having multiple cards in the same PACS CustomReport saem_hr_userdata, reportName=User_Multiple_Badge saet_rpt_user_mcard_spacs

A User Activity Reports table can be found below, in Table F.3

TABLE F.3 User Activity Reports Report Name Program Tables/Entity Used User activity for critical areas CustomReport saet_rpt_inactivity, saem_hr_userdata reportName=User_Actvt_Critical_Area User activity compared to job CustomReport saet_rpt_loc_comparision_activity, location reportName=User_Actvt_Oth_Job_Loc saem_hr_userdata User activity facility trace CustomReport saet_rpt_user_activity_trace, reportName=User_Actvt_Trace saem_hr_userdata User inactivity report CustomReport saet_rpt_denied_activity, saem_hr_userdata reportName=User_Inactivity User access denials CustomReport saet_rpt_denied_activity, saem_hr_userdata reportName=User_Access_Denial

Risk Visualization and Remediation

In an embodiment, a risk visualization and remediation subsystem is provided that includes AlertInsight subsystem 402, integration framework 424, risk engine 602, and controls and risk repository 626. In an embodiment, risk engine 602 may include policy engine 624. Further details of the above-cited components are described hereinabove.

Situational Awareness and Video Surveillance

In an embodiment, a situational awareness and video surveillance subsystem is provided that includes AlertAction subsystem 412, workflow processor 630, alert and event management processor 628, integration framework 424, and risk engine 602. In an embodiment, risk engine 602 may include policy engine 624. Further details of the above-cited components are described hereinabove.

Active Policy Enforcement

In an embodiment, an active policy enforcement subsystem is provided that includes policy engine 624, controls and risk repository 626, risk engine 602, and workflow processor 630. Further details of the above-cited components are described hereinabove.

Policy/Rule Engine

In an embodiment, a policy/rule engine subsystem is provided that includes policy engine 624, controls and risk repository 626, risk engine 602, and alert and event management processor 628. In an embodiment, risk engine 602 may include policy engine 624. Further details of the above-cited components are described hereinabove.

Multi-Compliance Framework and Risk Remediation

In an embodiment, a multi-compliance framework and risk remediation subsystem is provided that includes controls and risk repository 626 and compliance management processor 422. Further details of the above-cited components are described hereinabove.

An Example Machine Overview

FIG. 39 is a block schematic diagram of a system in the exemplary form of a computer system 1600 within which a set of instructions for causing the system to perform any one of the foregoing methodologies may be executed. In alternative embodiments, the system may comprise a network router, a network switch, a network bridge, personal digital assistant (PDA), a cellular telephone, a Web appliance or any system capable of executing a sequence of instructions that specify actions to be taken by that system.

The computer system 1600 includes a processor 1602, a main memory 1604 and a static memory 1606, which communicate with each other via a bus 1608. The computer system 1600 may further include a display unit 1610, for example, a liquid crystal display (LCD) or a cathode ray tube (CRT). The computer system 1600 also includes an alphanumeric input device 1612, for example, a keyboard; a cursor control device 1614, for example, a mouse; a disk drive unit 1616, a signal generation device 1618, for example, a speaker, and a network interface device 1620.

The disk drive unit 1616 includes a machine-readable medium 1624 on which is stored a set of executable instructions, i.e. software, 1626 embodying any one, or all, of the methodologies described herein below. The software 1626 is also shown to reside, completely or at least partially, within the main memory 1604 and/or within the processor 1602. The software 1626 may further be transmitted or received over a network 1628, 1630 by means of a network interface device 1620.

In contrast to the system 1600 discussed above, a different embodiment uses logic circuitry instead of computer-executed instructions to implement processing entities. Depending upon the particular requirements of the application in the areas of speed, expense, tooling costs, and the like, this logic may be implemented by constructing an application-specific integrated circuit (ASIC) having thousands of tiny integrated transistors. Such an ASIC may be implemented with CMOS (complementary metal oxide semiconductor), TTL (transistor-transistor logic), VLSI (very large systems integration), or another suitable construction. Other alternatives include a digital signal processing chip (DSP), discrete circuitry (such as resistors, capacitors, diodes, inductors, and transistors), field programmable gate array (FPGA), programmable logic array (PLA), programmable logic device (PLD), and the like.

It is to be understood that embodiments may be used as or to support software programs or software modules executed upon some form of processing core (such as the CPU of a computer) or otherwise implemented or realized upon or within a system or computer readable medium. A machine-readable medium includes any mechanism for storing or transmitting information in a form readable by a machine, e.g. a computer. For example, a machine readable medium includes read-only memory (ROM); random access memory (RAM); magnetic disk storage media; optical storage media; flash memory devices; electrical, optical, acoustical or other form of propagated signals, for example, carrier waves, infrared signals, digital signals, etc.; or any other type of media suitable for storing or transmitting information.

Although the invention is described herein with reference to the preferred embodiment, one skilled in the art will readily appreciate that other applications may be substituted for those set forth herein without departing from the spirit and scope of the present invention. Accordingly, the invention should only be limited by the Claims included below. 

1. A computer-implemented method for provisioning a policy or rule engine, a multi-compliance framework, and risk remediation comprising the steps of: allow defining or configuring access and compliance rule sets for enterprise applications, wherein said rule sets are configured to detect access violations, threat, and fraud of the enterprise controls, IT infrastructure, applications, and roles and to cause alerts to be generated to decision makers; continuously receiving and correlating data from across multiple platforms comprising various ERPs, IT applications, and physical and logical facility access control systems and assets; continuously monitoring the received and correlated data and detecting, using said access and compliance rule sets, one or more threats within said data when said one or more threats are present; responsive to monitoring the received and correlated data, performing risk analysis on said data; providing preventive measures that continuously mitigate against access violations, threat, and fraud, wherein said preventive measures comprise deploying preventive controls, providing compliance provisioning, performing risk simulations, and performing access re-affirmations; responding to said received and correlated data, said detected one or more threats, said risk analysis, and said preventive measure by displaying, on a common dashboard and in a single screen session, correlated risks and access violations; and providing remediation by allowing re-configuring, via said common dashboard, said access and compliance rule sets.
 2. The computer-implemented method of claim 1, wherein said one or more access risks comprise risks regarding: segregation of duties, critical access, over access, and administrator access.
 3. The computer-implemented method of claim 1, wherein said providing configurable rules sets allow changing underlying applications by allowing rule changes.
 4. The computer-implemented method of claim 1, wherein said access and compliance rule sets are configured to reflect enterprise and compliance regulations, industry and compliance standards, enterprise frameworks, multi-compliance frameworks, threats to the enterprise, enterprise risks, and enterprise controls.
 5. The computer-implemented method of claim 1, wherein continuously monitoring the received and correlated data further comprises reviewing access levels, reviewing authorizations for the accesses, and performing risk-assessments for compliance.
 6. The computer-implemented method of claim 1, wherein said access and compliance rule sets further comprise an industry specific, best practice set of risks and rules for compliance and regulatory standards including SOX and PCI.
 7. The computer-implemented method of claim 1, further providing workflow driven risk mitigation and remediation capabilities.
 8. The computer-implemented method of claim 1, further providing a processor to run enterprise wide cross-platform risk assessments to provide an holistic picture of the security and compliance of an enterprise.
 9. The computer-implemented method of claim 1, further providing automated audit trails with action logs.
 10. The computer-implemented method of claim 1, wherein said performing risk analysis further comprises using data from across existing enterprise applications, critical business applications, security automation tools and industrial control systems and aggregating the information to conduct a cross-enterprise risk assessment and wherein said responding further comprises allowing visual remediation, via said common dashboard, of control violations and ability to mitigate the risk.
 11. The computer-implemented method of claim 1, further providing pulling-in control results from security automation including vulnerability scanners, CMDBs, SIEMs, integrated security managers, and DLP systems, combining test results from security automation tools that check for security gaps and vulnerabilities with control results from evaluation of business processes risk, and delivering a comprehensive view of risk and compliance across the organization.
 12. The computer-implemented method of claim 1, wherein said access and compliance rule sets comprise regulations, standards and frameworks from authoritative sources comprising ISO 27001, ISO 27002, Sarbanes-Oxley, NIST SP800, HIPAA, GLBA, NERC-CIP, CFATS, PCI.
 13. The computer-implemented method of claim 1, further providing e-survey capability for human response and attestation and multi-level workflow to automate the survey gathering and assessment process.
 14. The computer-implemented method of claim 1, wherein said common dashboard automatically displays identification of control violations and mapping of controls to risks.
 15. The computer-implemented method of claim 1, further comprising translating controls into rules, wherein thousands of line items are automated for testing and remediation.
 16. The computer-implemented method of claim 1, further comprising accepting test results from IT automation tools, thereby eliminating a need to re-test.
 17. The computer-implemented method of claim 1, further comprising ability to configure multi-level workflow to support assessment, e-survey, attestation, and audit functions.
 18. The computer-implemented method of claim 1, wherein the common dashboard is configured to allow context based visual remediation with ability to display risks and allow remediation in real-time, thereby delivering active policy enforcement.
 19. The computer-implemented method of claim 1, wherein technical controls included as part of standards and regulations are not required to be manually tested.
 20. The computer-implemented method of claim 1, wherein remediation of control violations is automated, managed, and tracked on said common dashboard.
 21. The computer-implemented method of claim 1, wherein data relating to regulations, standards, and best-practice frameworks are updatable by users and customizable to an organization's needs.
 22. An apparatus for provisioning a policy or rule engine, a multi-compliance framework, and risk remediation comprising: at least one processor operable to execute computer program instructions; and at least one memory operable to store computer program instructions executable by said at least one processor, for performing: allow defining or configuring access and compliance rule sets for enterprise applications, wherein said rule sets are configured to detect access violations, threat, and fraud of the enterprise controls, IT infrastructure, applications, and roles and to cause alerts to be generated to decision makers; continuously receiving and correlating data from across multiple platforms comprising various ERPs, IT applications, and physical and logical facility access control systems and assets; continuously monitoring the received and correlated data and detecting, using said access and compliance rule sets, one or more threats within said data when said one or more threats are present; responsive to monitoring the received and correlated data, performing risk analysis on said data; providing preventive measures that continuously mitigate against access violations, threat, and fraud, wherein said preventive measures comprise deploying preventive controls, providing compliance provisioning, performing risk simulations, and performing access re-affirmations; responding to said received and correlated data, said detected one or more threats, said risk analysis, and said preventive measure by displaying, on a common dashboard and in a single screen session, correlated risks and access violations; and providing remediation by allowing re-configuring, via said common dashboard, said access and compliance rule sets. 